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sha256:4b88cf60b512787c53e4ac3e73c185c4a925ffe2dfa737c49b7577ad177c7e41 +size 537969 diff --git a/parse/train/BJgr4kSFDS/BJgr4kSFDS_span.pdf b/parse/train/BJgr4kSFDS/BJgr4kSFDS_span.pdf new file mode 100644 index 0000000000000000000000000000000000000000..b7716602e035b275c9a851506f4de021a608a95d --- /dev/null +++ b/parse/train/BJgr4kSFDS/BJgr4kSFDS_span.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:1085af67cf97f917c13e9205ab0527889ed30992196105e3d39101b47c0e1592 +size 802612 diff --git a/parse/train/BJl_VnR9Km/BJl_VnR9Km.md b/parse/train/BJl_VnR9Km/BJl_VnR9Km.md new file mode 100644 index 0000000000000000000000000000000000000000..9a3666fda1bdc1b9810775535fa6ccaa792d964f --- /dev/null +++ b/parse/train/BJl_VnR9Km/BJl_VnR9Km.md @@ -0,0 +1,320 @@ +# A MODEL CORTICAL NETWORK FOR SPATIOTEMPORAL SEQUENCE LEARNING AND PREDICTION + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +In this paper we developed a hierarchical network model, called Hierarchical Prediction Network (HPNet) to understand how spatiotemporal memories might be learned and encoded in a representational hierarchy for predicting future video frames. The model is inspired by the feedforward, feedback and lateral recurrent circuits in the mammalian hierarchical visual system. It assumes that spatiotemporal memories are encoded in the recurrent connections within each level and between different levels of the hierarchy. The model contains a feed-forward path that computes and encodes spatiotemporal features of successive complexity and a feedback path that projects interpretation from a higher level to the level below. Within each level, the feed-forward path and the feedback path intersect in a recurrent gated circuit that integrates their signals as well as the circuit’s internal memory states to generate a prediction of the incoming signals. The network learns by comparing the incoming signals with its prediction, updating its internal model of the world by minimizing the prediction errors at each level of the hierarchy in the style of predictive self-supervised learning. The network processes data in blocks of video frames rather than a frame-to-frame basis. This allows it to learn relationships among movement patterns, yielding state-of-the-art performance in long range video sequence predictions in benchmark datasets. We observed that hierarchical interaction in the network introduces sensitivity to memories of global movement patterns even in the population representation of the units in the earliest level. Finally, we provided neurophysiological evidence, showing that neurons in the early visual cortex of awake monkeys exhibit very similar sensitivity and behaviors. These findings suggest that predictive self-supervised learning might be an important principle for representational learning in the visual cortex. + +# 1 INTRODUCTION + +While the hippocampus is known to play a critical role in encoding episodic memories, the storage of these memories might ultimately rest in the sensory areas of the neocortex (McClelland & McNaughton, 1999). Indeed, a number of neurophysiological studies suggest that neurons throughout the hierarchical visual cortex, including those in the early visual areas such as V1 and V2, might be encoding memories of object images (Huang et al., 2018) and of visual sequences in cell assemblies (Yao et al., 2007; Han et al., 2008; Xu et al., 2012; Cooke & Bear, 2014; 2015). As specific priors, these memories, together with the generic statistical priors encoded in receptive fields and connectivity of neurons, serve as internal models of the world for predicting incoming visual experiences. In fact, learning to predict incoming visual signals has also been proposed as an objective that drives representation learning in a recurrent neural network in a self-supervised learning paradigm, where the discrepancy between the model’s prediction and the incoming signals can be used to train the network using backpropagation, without the need of labeled data (Elman, 1990; Mathieu et al., 2015; Villegas et al., 2017; Srivastava et al., 2015; O’Reilly et al., 2014; Lee, 2015). + +In computer vision, a number of hierarchical recurrent neural network models, notably PredNet (Lotter et al., 2016) and PredRNN $^ { + + }$ (Wang et al., 2018), have been developed for video prediction with state-of-the-art performance. PredNet, in particular, was inspired by the neuroscience principle of predictive coding (Mumford, 1991; Rao & Ballard, 1999; Lee, 2015; Dijkstra et al., 2017; Friston, 2018). It learns a LSTM (long short-term memory) model at each level to predict the prediction errors made in an earlier level of the hierarchical visual system. Because the error representations are sparse, the computation of PredNet is very efficient. However, the model builds a hierarchical representation to model and predict its own errors, rather than learning a hierarchy of features of successive complexities and scales to model the world. The lack of a compositional feature hierarchy hampers its ability in long range video predictions. + +Here, we proposed an alternative hierarchical network architecture. The proposed model, HPNet (Hierarchical Prediction Network), contains a fast feedforward path, instantiated currently by a fast deep convolutional neural network (DCNN) that learns a representational hierarchy of features of successive complexity, and a feedback path that brings a higher order interpretation to influence the computation a level below. The two paths intersect at each level through a gated recurrent circuit to generate a hypothetical interpretation of the current state of the world and make a prediction to explain the bottom-up input. The gated recurrent circuit, currently implemented in the form of LSTM, performs this prediction by integrating top-down, bottom-up, and horizontal information. The discrepancy between this prediction and the bottom-up input at each level is called prediction error, which is fed back to influence the interpretation of the gated recurrent circuits at the same level as well as the level above. + +To facilitate the learning of relationships between movement patterns, HPNet processes data in the unit of a spatiotemporal block that is composed of a sequence of video frames, rather than frame by frame, as in PredNet and $\mathrm { P r e d R N N + + }$ . We used a 3D convolutional LSTM at each level of the hierarchy to process these spatiotemporal blocks of signals (Choy et al., 2016), which is a key factor underlying HPNet’s better performance in long range video prediction. + +In the paper, we will first demonstrate HPNet’s effectiveness in predictive learning and its competency in long range video prediction. Then we will provide neurophysiological evidence showing that neurons in the early visual cortex of the primate visual system exhibit the same sensitivity to memories of global movement patterns as units in the lowest modules of HPNet. Our results suggest that predictive self-supervised learning might indeed be an important strategy for representation learning in the visual cortex, and that HPNet is a viable computational model for understanding the computation in the visual cortical circuits. + +# 2 RELATED WORKS + +Our objective is to develop a hierarchical cortical model for predictive learning of spatiotemporal memories that is competitive both for video prediction, and for understanding the learning principles and the computational mechanisms of the hierarchical visual system. In this regard, our model is similar conceptually to Ullman’s counter-stream model (Ullman, 1995), Mumford’s analysis by synthesis framework (Mumford, 1992), and Hawkin’s hierarchical spatiotemporal memory model (HTM) (Hawkins & George, 2006) for hierarchical cortical processing. At a conceptual level, it can also be considered as a deep learning implementation of hierarchical Bayesian inference model of the visual cortex (Lee & Mumford, 2003; Dayan et al., 1995; Kersten & Yuille, 2003). + +HPNet integrates ideas of predictive coding (Mumford, 1992; Rao & Ballard, 1999; Lotter et al., 2016) and associative coding (McClelland & Rumelhart, 1985; Grossberg, 1987). It differs from the predictive coding models (Rao & Ballard, 1999; Lotter et al., 2016) in that it learns a hierarchy of feature representations in the feedforward path to model features in the world as in normal deep convolutional neural networks (DCNN). PredNet, on the other hand, builds a hierarchy to model successive prediction errors of its own prediction of the world. PredNet is efficient because its convolution is operated on sparse prediction error codes, but we believe lacking a hierarchical feature representation limits its ability to model relationships among more global and abstract movement concepts for longer range video prediction. We believe having a fast bottom-up hierarchy of spatiotemporal features of successive scale and abstraction will allow the system to see further into the future and make better prediction. + +A key difference between the genre of predictive learning models (HPNet, PredNet) and the earlier predictive coding models implemented by Kalman filters (Rao & Ballard, 1999) or associative coding models implemented by interactive activation (McClelland & Rumelhart, 1985; Grossberg, 1987) is that the synthesis of expectation is not done simply by the feedback path, via weight matrix multiplication, but by local gated recurrent circuits at each level. This key feature makes this genre of predictive learning models more powerful and competent in solving real computer vision problems. + +The idea of predictive learning, using incoming video frames as self-supervising teaching labels to train recurrent networks, can be traced back to Elman (1990). Recently, there has been active exploration of self-supervised learning in computer vision (Palm, 2012; O’Reilly et al., 2014; Goroshin et al., 2015; Srivastava et al., 2015; Patraucean et al., 2015; Vondrick et al., 2016), particularly in the area of video prediction research (Mathieu et al., 2015; Kalchbrenner et al., 2017; Tulyakov et al., 2017; Xu et al., 2018; Oh et al., 2015; Villegas et al., 2017; Lee et al., 2018; Wichers et al., 2018). The large variety of models can be roughly grouped into three categories: autoencoders, DCNN, and hierarchy of LSTMs. Some models also involve feedforward and feedback paths, where the feedback paths have been implemented by deconvolution, autoencoder networks, LSTM or adversary networks (Finn et al., 2016; Lotter et al., 2016; Wang et al., 2017; 2018). Some other models, such as variational autoencoders, allowed multiple hypotheses to be sampled (Babaeizadeh et al., 2017; Denton & Fergus, 2018). + +PredRNN $^ { + + }$ (Wang et al., 2018) is the state-of-the-art hierarchical model for video prediction. It consists of a stack of LSTM, with the LSTM at one level providing feedforward input directly to the LSTM at the next level, and ultimately predicting the next video frame at its top level. Thus, its hierarchical representation is more similar to an autoencoder, with the intermediate layers modeling the most abstract and global spatiotemporal memories of movement patterns and the subsequent layers representing the unfolding of the feedback path into a feedforward network with its top-layer’s output providing the prediction of the next frame. PredR $\mathrm { N N } { + } { + }$ does not claim neural plausibility, but it offers state-of-the-art performance for benchmark performance evaluation, with documented comparisons to other approaches. + +Recent single-unit recording experiments in the inferotemporal cortex (IT) of monkeys have shown that neurons responded significantly less to predictable sequences than to novel sequences (Meyer & Olson, 2011; Meyer et al., 2014; Ramachandran et al., 2017), suggesting that neural activities might signal prediction errors. The novel neurophysiolgical experiment we presented here demonstrated similar prediction suppression effects in the early visual cortex of monkeys for well-learned videos, suggesting neuronal sensitivity to memories of global movement patterns and scene context in the earliest visual areas. This is consistent with other recent studies that showed neurons in mouse V1 might be able to encode some forms of spatiotemporal memories in their recurrent circuits (Han et al., 2008; Xu et al., 2012; Cooke & Bear, 2015). + +# 3 HIERARCHICAL PREDICTION NETWORK + +# 3.1 CORTICAL MODULE + +HPNet is composed of a stack of Cortical Modules (CM). Each CM can be considered as a visual area along the ventral stream of the primate visual system, such as V1, V2, V4 and IT. We used four Cortical Modules in our experiment. The network contains a feedforward path that is realized in a deep convolutional neural network (DCNN), a stack of Long Short Term Memory (LSTM) modules that link the feedforward path and the feedback path together. + +Figure 1 (a) shows two CMs stacked on top of each other. The feedforward path performs convolution (indicated by $\star$ ) on the input spatiotemporal block $I _ { l }$ with a kernel to produce $R _ { l }$ , where $l$ indicates CM level. $R _ { l }$ is then down-sampled to provide the input $I _ { l + 1 }$ for $\mathrm { C M } _ { l + 1 }$ for another round of convolution in the feedforward path. $I _ { l + 1 }$ also goes into $\mathrm { L S T M } _ { l + 1 }$ (Lhe STM in $\mathrm { C M t } _ { l + 1 }$ ). In each $\mathrm { C M } _ { l }$ level, the bottom-up input $I _ { l }$ is compared with the prediction $P _ { l }$ generated from the interpretation output $H _ { l }$ of $\mathrm { L S T M } _ { l }$ . The prediction error signal is transformed by a convolution into $E _ { l }$ , which is fed back to both $\mathrm { L S T M } _ { l }$ and $\mathrm { L S T M } _ { l + 1 }$ to influence their generation of new hypotheses $H _ { l }$ and $H _ { l + 1 }$ . To make the timing relationship between the different interacting variables more explicit, we now use $k$ to indicate time step or, equivalently, the video input frame. $\mathrm { L S T M } _ { l }$ at step $k$ integrates the bottom-up feature input $\mathrm { \bar { \cal R } } _ { l - 1 } ^ { k }$ , the top-down feedback of the higher CM’s LSTM’s output $H _ { l + 1 } ^ { k }$ , and the prediction errors $E _ { l - 1 } ^ { k }$ and $E _ { l } ^ { k - d }$ to generate new hypothesis output $H _ { l } ^ { k }$ , which is then transformed into a new prediction $P _ { l } ^ { k }$ , where $d$ is is the number of frames in each spatiotemporal block (details in Algorithm 1). + +![](images/78e52f715bdc1ed4b827d548f5e47231932ee1d6559ad5caa4aa98e07d11ffe8.jpg) +Figure 1: (a) Two Cortical Modules stacked on top of each other. The input $I _ { 1 }$ would be the spatiotemporal block of video frames. The $\star$ notation means a convolution along that path. $2 \uparrow$ indicates up-sampling or expansion operation. $2 \downarrow$ means down-sample or reduction in resolution. $\odot$ indicates comparator or subtraction operation; (b) The DCNN analysis path is actually implemented in a sparsified convolution scheme to speed up bottom-up processing; (c) Detailed structure of the LSTM used. $C _ { t }$ is the internal state, and $H _ { t }$ is the output. X is external input, which includes multiple sources in our model. (d) Frame-by-frame method; (e) Block-by-frame method; and (f) Block-by-block method, where left and right part indicates output and input with the middle indicating 2D or 3D convolution LSTM. + +# 3.2 SPARSE CONVOLUTION + +The feedforward DCNN path in Figure 1 (a) runs much faster if the input to each convolution layer is made sparse, as shown in Pan et al. (2018). In video processing, a scheme has been proposed by Liu et al. (2017); Dave et al. (2017); Pan et al. (2018) to sparsify the input of a convolution layer by performing convolution on the difference $\Delta I _ { l } ^ { k } = I _ { l } ^ { k } - I _ { l } ^ { k - 1 }$ between two consecutive frames, where $k$ indicates the $\mathbf { k }$ -th frame. The resulting $\Delta R _ { l } ^ { k }$ is added back to the representation of the last time frame $R _ { l } ^ { k - 1 }$ to recover the representation at the current frame $R _ { l } ^ { k }$ . This allows the network to maintain a full higher order representation $R$ at all times in the next layer while enjoying the benefit of fast computation on sparse input. In their scheme (Pan et al., 2018), the first frame $I ^ { k = 0 }$ was convolved with a set of dense convolution kernels and then the subsequent frames were convolved with a set of sparse convolution kernels. For parsimony and neural plausibility, we used the same set of sparse kernels for processing both the first full frame and the subsequent temporal-difference frames, at the expense of incurring some inaccuracy in our prediction of the first few frames. + +# 3.3 SPATIOTEMPORAL BLOCKS AND 3D CONVOLUTION + +The input data of our network model is a sequence of video frames or a spatiotemporal block. For our implementation, each block contains 5 video frames. If we consider that each frame corresponds roughly to $2 5 ~ \mathrm { m s }$ , this would translate into $1 2 5 ~ \mathrm { m s }$ , in the range of the length of temporal kernel of a cortical neuron. Our convolution kernel is in three dimension, processing the video by spatiotemporal blocks. The block could slide in time with a temporal stride of one frame or a stride as large as the length of the block $d$ . The LSTM is a 3D convolutional LSTM (Choy et al., 2016) because of 3D convolution and spatiotemporal blocks. Convolution LSTM (Shi et al., 2015), in which Hadamard product in LSTM is replaced by a convolution, has greatly improved the performance of LSTM in many applications. Earlier video prediction models (e.g. PredNet, PredRNN) processed video sequences frame by frame, as shown in Figure 1 (d). We experimented with different data units and approaches. In the Frame-to-Frame (F-F) approach, an input frame is used to generate one predicted future frame (Figure 1 (d)). In the Block-to-Frame (B-F) approach (Figure 1 (e)), a block of input frames is used to generate one predicted future frame. This approach is time consuming, but provides more accurate near-range predictions. For longer-range predictions, we found using a spatiotemporal block to predict a spatiotemporal block, i.e. the Block-to-Block (B-B) approach ( Figure 1(f)), to be the most effective, because the LSTM learns the relationship between movement segments in the sequences. The details of our algorithm of the 3D convolutional LSTM is specified in Appendix A. + +# 3.4 TRAINING AND LOSS FUNCTION + +The entire network is trained by minimizing a loss function which is the weighted sum of all the prediction errors, with the following algorithm, + +$$ +\begin{array} { r l } { I _ { l } ^ { k } = \left\{ \begin{array} { l l } { M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } ) ) } & { l > 1 } \\ { x _ { t } } & { l = 1 } \end{array} \right. P _ { l } ^ { k } = \left\{ \begin{array} { l l } { R e L U ( c o n v ( H _ { l } ^ { k } ) ) } & { l > 1 } \\ { S A T L ( R e L U ( c o n v ( H _ { l } ^ { k } ) ) ) } & { l = 1 } \end{array} \right. } \\ { \Delta I _ { l } ^ { k } = I _ { l } ^ { k } - I _ { l } ^ { k - d } , } & { \Delta E _ { l } ^ { k } = I _ { l } ^ { k } - P _ { l } ^ { k } } \end{array} +$$ + +where $x _ { t }$ is the input sequence, $H _ { l } ^ { k }$ is the output of LSTM, $P _ { l } ^ { k }$ is the prediction, SATLU is a saturating non-linearity set at the maximum pixel value: $\mathrm { S A T L U } ( x ; p _ { m a x } ) { : = \operatorname* { m i n } ( p _ { m a x } , x ) }$ , spconv is sparse convolution, $\lambda _ { k }$ and $\lambda _ { l }$ are weighting factors by time and CM level, respectively, and $n _ { l }$ is the number of units in the lth CM level, and $d$ is the number of frames in each spatiotemporal block. The full algorithm is shown in Algorithm 1. + +# 4 EXPERIMENTAL RESULTS + +In this section, we first evaluate the performance of our model in video prediction using two benchmark datasets: (1) synthetic sequences of the Moving-MNIST database and (2) the $\mathrm { K T \check { H } ^ { 1 } }$ real world human movement database. We then investigate the representations in the model to understand how recurrent network structures have impacted on the feedforward representation. We finally compare the temporal activities of neurons in the network model with that of neurons in the visual cortex of monkeys, in video sequence learning, to evaluate the plausibility of HPNet. + +Since for video prediction, PredNet is the most neurally plausible model and $\mathrm { P r e d R N N + + }$ provides state-of-the-art computer vision performance, we will compare HPNet’s performance with these two network models. Because these two models work on frame-to-frame basis, we implemented three versions of our network for comparison: (1) Frame-to-Frame (F-F), where we set our data spatiotemporal block size to one frame and used 2D convLSTM instead of 3D convLSTM to predict the next frame based on the current frame; (2) Block-to-Frame (B-F), where we used a sliding block window to predict the next frame based on the current block of frames; (3) Block-to-Block (B-B), where the next spatiotemporal block was predicted from the current spatiotemporal block (Figure 1 (d)). + +We trained all five networks using 40-frame sequences extracted from the two databases in the same way as described in (Lotter et al., 2016; Wang et al., 2018). We then compared their performance in predicting the next 20 frames when only the first 20 frames were given. The test sequences were drawn from the same dataset but not in the training set. The common practice in PreNet and $\mathrm { P r e d R N N + + }$ for predicting future frames when input is no longer available is to make the prediction of the last time step the next input and use that to generate prediction of the next time step. All models tested have four modules (layers). All three versions of our model and PredNet used the same number of feature channels in each layer, optimized by grid search, i.e. (16,32,64,128) for the Moving-MNIST dataset, and (24,48,96,192) for the KTH dataset. For PredRNN $^ { + + }$ , we used + +# Algorithm 1 The algorithm of our model + +Input: $I _ { 1 } ^ { k } \gets x _ { t }$ +1: for $t = 1$ to $T$ do +2: for $l = L$ to 1 do . Top-down procedure +3: if $l = L$ then +4: $H _ { l } ^ { k } = 3 D c o n v L S T M ( H _ { l } ^ { k - d } , E _ { l } ^ { k - d } , M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } , E _ { l - 1 } ^ { k } ) ) )$ +5: else +6: $H _ { l } ^ { k } = 3 D c o n v L S T M ( H _ { l } ^ { k - d } , E _ { l } ^ { k - d } , M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } , E _ { l - 1 } ^ { k } ) ) , u p s a m p l e ( H _ { l + 1 } ^ { k } ) )$ +7: end if +8: end for +9: for $l = 1$ to $L$ do . Bottom-up procedure +10: if $l = 1$ then +11: $I _ { l } ^ { k } = x _ { t } , \ P _ { l } ^ { k } = S A T L U ( R e L U ( c o n v ( H _ { l } ^ { k } ) ) )$ +12: else +13: $I _ { l } ^ { k } = M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } ) ) , P _ { l } ^ { k } = R e L U ( c o n v ( H _ { l } ^ { k } )$ +14: end if +15: $\overline { { \Delta I _ { l } ^ { k } } } = I _ { l } ^ { k } - I _ { l } ^ { k - d } , \Delta R _ { l } ^ { k } = s p c o n v ( \Delta I _ { l } ^ { k } ) , R _ { l } ^ { k } = R _ { l } ^ { k - d } + \Delta R _ { l } ^ { k }$ +16: ∆ E kl = I kl − P kl , $E _ { l } ^ { k } = s p c o n v ( \Delta E _ { l } ^ { k } )$ +17: end for +18: end for + +the same architecture and feature channel numbers provided by Wang et al. (2018). All kernel sizes are either $3 \times 3$ (for F-F) or $3 \times 3 \times 3$ (for B-F and B-B) for all five models. The input image frame’s spatial resolution is $6 4 \times 6 4$ . + +The models were trained and tested on GeForce GTX TITAN X GPUs. We evaluated the prediction performance based on two quantitative metrics: Mean-Squared Error (MSE) and the standard Structural Similarity Index Measure (SSIM) (Wang et al., 2004) of the last 20 frames between the predicted frames and the actual frames. The values of SSIM range from -1 to 1, with a larger value indicating greater similarity between the predicted frames and the actual future frames. + +# 4.1 SYNTHETIC SEQUENCE PREDICTION ON THE MOVING-MNIST DATASET + +We randomly chose subsets of digits in the Moving MNIST2 dataset in which the video sequences contain two handwritten digits bouncing inside a frame of $6 4 \times 6 4$ pixels. We extracted 40-frame sequences at random starting frame position in the video in the same way as in Srivastava et al. (2015) (followed by PredNet and PredRNN $^ { + + }$ ). This extraction process is repeated 15000 times, resulting in a training set of 10000 sequences, a validation set of 2000 sequences, and a testing set of 3000 sequences. + +Figure 2 and Table 1 compare the results of different models on the Moving-MNIST dataset. There are 40 frames in total and we show the results every two frames. The yellow vertical line in the middle represents the border between the first 20 and the last 20 predicted frames by various models. We can see B-F achieves better performance than B-B in short term prediction task when actual input frames are provided, but B-B outperforms B-F in the longer range prediction, reflecting learning of the relationships at the movement levels by the 3D convLSTM. B-F doing better than F-F confirmed that the spatiotemporal block data structure provides additional information for modeling movement tendency. Finally, we found that even F-F achieved better prediction results than PredNet, suggesting that a feature hierarchy might be more useful than a hierarchy of predicted errors. Finally, our B-B network outperformed the state-of-the-art PredRNN $^ { + + }$ . + +# 4.2 REAL-WORLD SEQUENCE PREDICTION ON THE KTH DATASET + +Schuldt et al. (2004) introduced the KTH video database which contains 2391 sequences of six ¨ human actions: walking, jogging, running, boxing, hand waving, and hand clapping, performed by 25 subjects in four different scenarios. We divided video clips across all 6 action categories into a training set of 108717 sequences (persons $\# 1 - 1 6 )$ ) and a test set of 4086 sequences (persons $\# 1 7$ - + +![](images/a72c9c51fbb7c5180ada71286fb5a2c6b87e525e6512b595f67a3f37b124be03.jpg) +Figure 2: Video prediction results on Moving-MNIST dataset, where the first row to last row are ground truth (GT), results from three different version of HPNet (block-to-block (B-B), block-toframe (B-F), frame-to-frame (F-F)), PredNet, and $\mathrm { P r e d R N N + + }$ , respectively. ${ \bf k } { = } 1$ to $\mathbf { k } { = } 1 9$ are predicted frames of the models when the input frames were available. $\mathrm { k } { = } 2 1$ to $\mathrm { k } = 3 9$ are the ”deadreckoning” predicted frames of the model when there are no input. + +Table 1: Comparison Results of different methods on Moving-MNIST datatset for long time prediction experiment. + +
MethodSSIMMSE
Ours(B-B)0.91565.2
Ours(B-F)0.79373.2
CM+ConvLSTM (F-F)0.69289.5
PredNet (Lotter et al., 2016)0.658101.2
PredRNN++ (Wang et al., 2018)0.87269.4
+ +Table 2: Comparison Results of different methods on the KTH datatset for long time prediction experiment. + +
MethodSSIMMSE
Ours(B-B)0.88280.3
Ours(B-F)0.78493.1
CM+ConvLSTM (F-F)0.701103.4
PredNet (Lotter et al., 2016)0.656108.9
PredRNN++ (Wang et al., 2018)0.86586.7
+ +25) as was done in Wang et al. (2018), except we extracted 40-frame sequences. We center-cropped each frame to a $1 2 0 \times 1 2 0$ square and then re-sized it to input frame size of $6 4 \times 6 4$ . + +![](images/18c628c442287f0ce09ccb8e63c6191b299b6c46c8e6eed3d1d035906c769d3e.jpg) +Figure 3: Video prediction results on the KTH dataset, where the first row to last row are ground truth (GT), results from block-to-block (B-B), block-to-frame (B-F), frame-to-frame (F-F), PredNet, and PredRNN $^ { + + }$ , respectively, same format as Figure 2. + +Figure 3 and Table 2 compared the results of the different models on the KTH dataset, essentially reproducing all the observations we made based on the Moving-MINST dataset (Figure 2). BB outperformed all tested models in the long range video prediction task. Figure 4 (a) and (b) compared the video prediction performance of the different models in terms of the “dead-reckoning frames” to be predicted when only the first twenty frames were provided for the two datasets. The results show that, in both cases, B-B is far more effective than B-F in long range video prediction. Figure 4 (c) showed that the ratio of SSIM and training time peaks at a 4-module network. The SSIM of a 5-module network was about the same as that of a 4-module network but took longer time to converge. The B-F, with a sliding window of a single frame stride, took much longer to train yet still under-performed. Figure 4 (d) showed SSIM performance and training time of the different models. It shows that the B-B (sparse) version of HPNet took only $10 \%$ longer to train than PredRNN $^ { + + }$ even though it has more loops into the networks and has to process spatiotemporal blocks. Both PredR $\mathrm { N N } { + } { + }$ and HPNet require twice amount of the training time relative to PredNet, illustrating the computational efficiency of using sparse codes. Sparsifying our DCNN feedforward path reduced our B-B network’s training time by $13 \%$ (comparing B-B (sparse) versus B-B (non-sparse) in Figure 4 (d)). + +![](images/c54b32dff62dc386cd978ee7162bd2cd751997b7e83c9dd684f43c4719c5c414.jpg) +Figure 4: (a) Comparison of the prediction results of the five models for the Moving-MINST dataset on the last 20 frames in structural similarity measures (SSIM). (b) Comparison of the prediction results on the KTH datset. (c) Comparison of the performance (and training time) of the B-B and the B-F networks as a function of the number of modules in the network. (d) Training time versus SSIM performance of the different models. Note, the training time $\mathbf { \tau } ( \mathbf { x } )$ axis not in a linear scale. + +To understand the importance of the hierarchical representation and recurrent feedback in the model, we trained the B-B network with different numbers of modules and then used t-SNE (van der Maaten & Hinton, 2008) to visualize the representation $R$ in the different modules of the various networks in response to the last of the 20 future dead-reckoning frames of 600 testing sequences belonging to the six movements in the KTH dataset. The results are shown in Figure 5. We observed that having more higher modules introduced cluster of global movement patterns in the representation units even in the earliest module (Figure 5 (a) versus Figure 5 (e)), which resulted in significant decoding accuracy improvement in the classification of the six classes of movement patterns, from chance $( 1 6 \% )$ to $26 \%$ , based on the unit activities in the first module alone. The representations of the top module of the 4-module network provide a decoding accuracy of $63 \%$ , suggesting that the HPNet has learned semantically meaningful hierarchical spatiotemporal feature representations (see Appendix B for details) and can learn movement-to-movement relationships for making better long range video predictions (see also Kheradpisheh et al. (2018)). Decoding results indicate that higher order semantic representations of the global movement patterns are significantly weaker or absent in the hierarchical representations of PredRNN or PredNet respectively (see Appendix B for details). + +# 4.3 VISUAL SEQUENCE LEARNING EFFECTS IN THE VISUAL CORTEX + +Hierarchical feedback in HPNet endows the representations in the earliest Cortical Modules with sensitivity to global movement and image patterns, despite these units’ very localized receptive fields, particularly R in the feedforward path (Figure 5). Could the neurons in the early visual areas of the mammalian hierarchical visual systems behave in a similar way, becoming sensitive to the memory of global movement patterns of familiar movies? + +We found this to be the case in a series of neurophysiological experiments that we have performed to study the effect of unsupervised learning of video sequences on the early visual cortical representations. Two monkeys, implanted with Gray-Matter semi-chronic multielectrode arrays (SC32 and SC96) over the V1 operculum with access to neurons in V1 and V2, participated in the experiment. Each experiment lasted for at least seven daily recording sessions. In each recording session, the monkey was required to fixate on a red dot on the screen for a water reward while a set of 40 video clips of natural scenes with global movement patterns was presented. One clip was presented per trial. Each clip lasted for $8 0 0 ~ \mathrm { { m s } }$ . A total of 40 clips were presented once each in a random interleaved fashion in a block of trials, and each block was repeated 20-25 times each day3. Among the + +40 movie clips tested every day, twenty of these were the same each day, designated as “Predicted set”. Twenty of them were different each day, designated as “Unpredicted set”. Each set consisted of 20 movies. + +![](images/9519100cf2967e267437c1c3a9cb4b017da0545800c0379da636e5fcacda3850.jpg) +Figure 5: (a)-(d) are the top CM’s R representation of networks with different number of modules, from one to four; (e)-(h) are the representation of each modules in a four-modules network, from the first module to the fourth, left to right. Better clustering leads to better decoding results of the different movement classes. Full details are in Appendix B. + +The rationale for the experimental design is as follows. Given that we were recording from $3 0 +$ neurons in each session, even though the neurons have different stimulus preferences in their local receptive fields, each neuron would experience about 400 movie frames for the Predicted movie set, as well as for each of the Unpredicted movie sets. When we averaged the temporal responses of all the neurons to each of the 20-movie sets, they should be roughly the same. In the first two days of the experiment, the clips in the Predicted set were still unpredicted, hence there should have been no difference between the population averaged responses to the Predicted set and the Unpredicted set. This was indeed the case as shown in Figure 6b (top row) which compared the averaged temporal responses of the neurons to the Predicted set and to the Unpredicted set for the first two days of training in one experiment. + +Interestingly, we found that after only three days of unsupervised training, with 20-25 exposures of each familiar movie per day, the neurons started to respond significantly less to predicted movies than to novel movies in the later part of their responses, starting around $1 0 0 \mathrm { m s }$ post-stimulus onset, as shown in Figure 6(b) (bottom row). The evolution of daily mean of all neurons’ familiarity suppression index over days is shown as the magenta curve. As the neurons became more and more familiar with the Predicted set, the prediction suppression effect gradually increased and saturated at around the sixth and seventh days. We repeated the experiments six times in two monkeys and obtained fairly consistent results. Note that the movie clips were shown in a $8 ^ { o }$ aperture during the experiment. Given that the V1 and V2 neurons being studied have very local and small receptive fields $0 . 5 ^ { o }$ to $2 ^ { o }$ ), it is rather improbable that the neurons would have remembered or adapted to the local movement patterns of the Predicted set within their receptive fields, as they would be experiencing millions of such local spatiotemporal patterns in their daily experience. Indeed, when the video clips were shown to the neurons through a smaller $3 ^ { o }$ diameter aperture, the prediction suppression effects were much attenuated, suggesting that the neurons had indeed became sensitive to the global context of movement patterns! + +To check whether neurons in our network behave in the same way, we performed a similar experiment on our network, pretrained with the KTH dataset. We randomly extracted 20 sequences from the BAIR dataset (Ebert et al., 2017), resized the sequence length to 40 frames and each frame size to $6 4 \times 6 4$ . We separated the 20 video sequences into two sets – the Predicted set and the Unpredicted set. We averaged the responses to the two movie sets respectively of each type of neurons in the network $E$ (prediction error units), $P$ (prediction units), and $R$ (representation units)) in each CM within the center $8 \times 8$ hypercolumns. Before training, the responses of each type of neurons are indeed the same for both movie sets (not shown, but similar to Figure 6(b) data). Then, we trained the network with the Predicted set for 2000 epochs. After training, all three types of units in each + +CM exhibited the prediction suppression effect as shown in Figure 6 (c)-(h) (full details in Appendix C). + +![](images/e5f66d7a3e15ecbee2b1ef73fd797ecbddf19d736dba1d6e32d12e9a48d2243b.jpg) +Figure 6: (a) The development of the prediction suppression effect across days in one experiment. Each dot is the prediction suppression index of a neuron. Color indicates whether the effect was significant or not (red - significant, blue - insignificant, green - significant in the opposite way) based on t-test with $p < 0 . 0 5$ as statistical significance threshold. (b) Averaged temporal responses of the V1 and V2 neurons (combined) of one monkey to Predicted set and the Unpredicted sets in the first two days (top row), showing no difference. The averaged responses (combining data from day 5 to day 12) to the Predicted set was significantly weaker than the responses to the Unpredicted sets, indicating prediction suppression. (c)-(e) Module 1’s normalized averaged population responses of the three types of units to the Predicted set and the Unpredicted set. (f)-(h) Module 4’s normalized averaged population responses of the three types of units. + +We observed the prediction suppression effect in all three types of neurons in all the modules in the hierarchy, with the higher modules showing a stronger effect. It is not surprising that the prediction error neurons $E$ would decrease their responses as the network learns to predict the familiar movies better. It is rather interesting to find the representation neurons $R$ and the prediction neurons $P$ also exhibit prediction suppression, even though these neurons represent features rather than prediction errors. The precise reasons remain to be determined, but the fact that all neuron types in the model exhibited the prediction suppression effect might explain why the prediction suppression effects were commonly observed in most of the randomly sampled neurons in the visual cortex (see Figure 6a). These findings suggest that (1) predictive self-supervised learning might indeed be an important principle and mechanism by which the visual cortex learns its representations, and (2) the neurophysiological observations on prediction suppression in IT (see Appendix D) and now in the early visual cortex might be explained by this class of hierarchical cortical models. + +# 5 CONCLUSION + +In this paper, we developed a hierarchical prediction network model (HPNet), with a fast DCNN feedforward path, a feedback path and local recurrent LSTM circuits for modeling the counterstream / analysis-by-synthesis architecture of the mammalian hierarchical visual systems. HPNet utilizes predictive self-supervised learning as in PredNet and PredRNN $^ { + + }$ , but integrates additional neural constraints or theoretical neuroscience ideas on spatiotemporal processing, counter-stream architecture, feature hierarchy, prediction evaluation and sparse convolution into a new model that delivers the state-of-the-art performance in long range video prediction. Most importantly, we found that the hierarchical interaction in HPNet introduces sensitivity to global movement patterns in the representational units of the earliest module in the network and that real cortical neurons in the early visual cortex of awake monkeys exhibit very similar sensitivity to memories of global movement patterns, despite their very local receptive fields. These findings support predictive self-supervised learning as an important principle for representation learning in the visual cortex and suggest that HPNet might be a viable computational model for understanding the cortical circuits in the hierarchical visual system at the functional level. Further evaluations are needed to determine definitively whether PredNet or HPNet is a better fit to the biological reality. + +# REFERENCES + +Mohammad Babaeizadeh, Chelsea Finn, Dumitru Erhan, Roy H. Campbell, and Sergey Levine. Stochastic variational video prediction. CoRR, abs/1710.11252, 2017. + +Christopher Bongsoo Choy, Danfei Xu, JunYoung Gwak, Kevin Chen, and Silvio Savarese. 3d-r2n2: A unified approach for single and multi-view 3d object reconstruction. In ECCV, 2016. + +Sam F. Cooke and Mark F. Bear. How the mechanisms of long-term synaptic potentiation and depression serve experience-dependent plasticity in primary visual cortex. 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Image quality assessment: from error visibility to structural similarity. IEEE Transactions on Image Processing, 13:600–612, 2004. + +Nevan Wichers, Ruben Villegas, Dumitru Erhan, and Honglak Lee. Hierarchical long-term video prediction without supervision. In ICML, 2018. + +Shengjin Xu, Wanchen Jiang, Mu-Ming Poo, and Yang Dan. Activity recall in visual cortical ensemble. In Nature Neuroscience, 2012. + +Ziru Xu, Yunbo Wang, Mingsheng Long, and Jianmin Wang. Predcnn: Predictive learning with cascade convolutions. In IJCAI, 2018. + +Haishan Yao, Lei Shi, Feng Han, Hongfeng Gao, and Yang Dan. Rapid learning in cortical coding of visual scenes. Nature Neuroscience, 10:772–778, 2007. + +# APPENDIX + +# A 3D CONVOLUTIONAL LSTM + +Because our data are in the unit of spatitemporal block, we have to use a 3D form of the 2D convolutional LSTM. 3D convolutional LSTM has been used by Choy et al. (2016) in the stereo setting. The dimensions of the input video or the various representations $[ , E $ and $H$ ) in any module are $c \times d \times h \times w$ , where $c$ is the number of channels, $d$ is the number of adjacent frames, $h$ and $w$ specify the spatial dimensions of the frame. The 3D spatiotemporal convolution kernel is $m \times k \times k$ in size, where $m$ is kernel temporal depth and $k$ is kernel spatial size. The spatial stride of the convolution is 1. The size of the output with $n$ kernels is $n \times d \times h \times w$ . We define the inputs as $X _ { 1 } , . . . , X _ { t }$ , the cell states as $C _ { 1 } , . . . , C _ { t }$ , the outputs as $H _ { 1 } , . . . , H _ { t }$ , and the gates as $i _ { t } , f _ { t } , o _ { t }$ . Our 3D convolutional LSTM is specified by the equations below, where the function of 3D convolution is indicated by $\star$ and the Hadamard product is indicated by $\circ$ . + +$$ +\begin{array} { r l } & { i _ { t } = \sigma ( W _ { x i } \star X _ { t } + W _ { h i } \star H _ { t - 1 } + W _ { c i } \circ C _ { t - 1 } + b _ { i } ) } \\ & { f _ { t } = \sigma ( W _ { x f } \star X _ { t } + W _ { h f } \star H _ { t - 1 } + W _ { c f } \circ C _ { t - 1 } + b _ { f } ) } \\ & { C _ { t } = f _ { t } \circ C _ { t - 1 } + i _ { t } \circ t a n h ( W _ { x c } \star X _ { t } + W _ { h c } \star H _ { t - 1 } + b _ { c } ) } \\ & { o _ { t } = \sigma ( W _ { x o } \star X _ { t } + W _ { h o } \star H _ { t - 1 } + W _ { c o } \circ C _ { t } + b _ { o } ) } \\ & { H _ { t } = o _ { t } \circ t a n h ( C _ { t } ) } \end{array} +$$ + +# B SEMANTIC CLUSTERING IN THE HIERARCHICAL REPRESENTATIONS + +![](images/c0e556c9d7f79ffdcd2a3195b469c4be33fc009cc3505934f6a6f9a4ba0df9bc.jpg) +Figure 7: Visualization of R representational units of the different modules in (a) a one-module network; (b)-(c) a two-module network; (d)-(f) a three-module network; and (g)-(j) a four-module network. + +Figure 7 compares the t-SNE (van der Maaten & Hinton, 2008) projection of the responses of the R representation units in the center $8 \times 8$ “hypercolumns” of the different modules for networks of different number of modules to the 6 movement classes in the KTH dataset. Partial results are shown in Figure 5 of the main text of the paper. The figures demonstrate that as more higher order modules are stacked up in the hierarchy, the semantic clustering into the six movement classes become more pronounced even in the early modules, suggesting that the hierarchical interaction has steered the feature representation into semantic clusters even in the early modules. Module 4-1 means representation of module 1 in a 4-module network. + +We use linear decoding (multi-class SVM) to assess the distinctiveness of the semantiuc clusters in the representation of the different modules in the different networks. The decoding results in Table 3 shows that the decoding accuracy based on the reprsentation of module 1 has improved from chance $( 1 6 \% )$ to $26 \%$ , an improvement of $60 \%$ between a 1-module HPNet and a 4-module HPNet, and that the representation of module 4 of a 4-module HPNet can achieve a $63 \%$ accuracy in classifying the six movement classes, suggesting that the network only needs to learn to predict unlabelled video sequences, and it automatically learns reasonable semantic representations for recognition. + +Table 3: Our model’s decoding results of six movement classes in the KTH dataset based on R representations in different modules of networks of different number of modules. Module 4-2 means Module 2 of a 4-module HPNet. + +
Representation inModule 1-1Module 2-1Module 3-1Module 4-1
Mean decoding accuracy0.160.190.210.26
Representation inModule 4-1Module 4-2Module 4-3Module 4-4
Mean decoding accuracy0.260.450.570.63
+ +For comparison, we also performed decoding on the output representations of each LSTM layer in the PredR $\mathrm { N N } { + } +$ and PredNet to study their representations of the six movement patterns. The results shown below indicate that the semantic clustering of the six movements is not very strong in the $\mathrm { P r e d R N N + + }$ hierarchy. We realized that this might be because the PredR $\mathrm { N N } { + } { + }$ behaves essentially like an autoencoder. The four-layer network effectively only has two layers of feature abstraction, with layer 2 being the most semantic in the hierarchy and layers 3 and 4 representing the unfolding of the feedback path. Decoding results indicate that the hierarchical representation based on the output of the LSTM at every layer in PredNet, which serve to predict errors of prediction errors of the previous layer, does not contain semantic information about the global movement patterns. + +Table 4: PredR $\mathrm { N N } { + } { + }$ ’s decoding results of six movement classes in the KTH dataset based on representations in the different layers of the network. + +
Representation inLayer 1Layer 2Layer 3Layer 4
Mean decoding accuracy0.180.230.180.16
+ +Table 5: PredNet’s decoding results of six movement classes in the KTH dataset based on LSTM representations in the different layers of the network. + +
Representation inLayer 1Layer 2Layer 3Layer 4
Mean decoding accuracy0.160.110.100.10
+ +# C PREDICTION SUPPRESSION EFFECTS IN VIDEO SEQUENCE LEARNING IN HPNET + +![](images/a52d9a7b53db63f51aaa466a911037f6c15e102401c1ecbadaad8c28d6b81c90.jpg) +Figure 8: Results of video sequence learning experiments showing prediction suppression can be observed in $E$ , $P$ , and $R$ units in every module along the hierarchical network. The abscissa is time after stimulus onset - where we set each video frame to be $2 5 ~ \mathrm { m s }$ for comparison with neural data. The ordinate is the normalized averaged temporal response of all the units within the center $8 \times 8$ hypercolumns, averaged across all neurons and across the 20 movies in the Predicted set (blue) and the Unpredicted set (red) respectively. Prediction suppression can be observed in all types of units, though more pronounced in the E and $\mathrm { \bf P }$ units. + +# D PREDICTION SUPPRESSION EFFECT IN IT NEURONS AND HPNET + +HPNet readily reproduces the prediction suppression effects observed in IT neurons. Meyer & Olson (2011) trained monkeys to image pairs in a fixed order for over 800 trials for each 8 pair images, and then compared the responses of the neurons to these images in the trained order against the responses of the neurons to the same images but in novel pairings. Figure 9 shows the mean responses of 81 IT neurons during testing stage for predicted pairs and unpredicted pairs. All the stimuli are presented in both pairs. They found that neural responses to the expected second images in a familiar sequence order is much weaker than the neural responses to the image in an unfamiliar or unexpected sequence order. To evaluate whether HPNet can produce the same effect, we performed exactly the same experiments with 2000 epochs of training on the image pairs, with a gap of 2 frames, and our model produced the same results, with lower responses for the predicted second stimulus relative to the unpredicted second stimulus. Each stimulus sequence was presented first with 5 gray frames, followed by 10 frames of the first image in the pair, then 2 gray frames as gap, then 10 frames of the second image in the pair. The responses of the units to the trained set and the untrained set are the same prior to training. After training, the images when arranged in the trained order responded much less after the initial responses than the same images but arranged in unpredicted pairs. The result shown in Figure 10 duplicated the observations in Meyer & Olson (2011), the average neural response of $E$ unit is lower than the unpredicted pairs. All three types of units of NPNet exhibit prediction suppression though the effect is much weaker for the R units (see Figure 11. Lotter et al. (2018) also tested the prediction suppression effect, but their model couldn’t allow any gap between the stimuli as in the experiment. Our model can handle gap because of our model is processing information in spatiotemporal blocks. + +![](images/dadf1c00e4142c5d9085ecb55c8cae4ef9d1f1d31d877d4431b6da52878f9a57.jpg) +Figure 9: Prediction suppression in IT neurons ((Meyer & Olson, 2011)). + +![](images/4bfafb24e1bf7b578d7b8a0d93fc8608570cb8c01cfbd2d31c90b01803090968.jpg) +Figure 10: Prediction suppression results on $E 4$ units in HPNet. + +![](images/a59f40cc192119d38876a7577eb784609d40eeeab86412eeddb413ef21c94456.jpg) +Figure 11: Prediction suppression behaviors in the E, P, and R units of module 4 of HPNet, respectively. \ No newline at end of file diff --git a/parse/train/BJl_VnR9Km/BJl_VnR9Km_content_list.json b/parse/train/BJl_VnR9Km/BJl_VnR9Km_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..c8b31f2b3e92baca746d76c83da8fb5e63aad3b2 --- /dev/null +++ b/parse/train/BJl_VnR9Km/BJl_VnR9Km_content_list.json @@ -0,0 +1,1669 @@ +[ + { + "type": "text", + "text": "A MODEL CORTICAL NETWORK FOR SPATIOTEMPORAL SEQUENCE LEARNING AND PREDICTION ", + "text_level": 1, + "bbox": [ + 176, + 101, + 821, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 174, + 398, + 200 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 238, + 544, + 253 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this paper we developed a hierarchical network model, called Hierarchical Prediction Network (HPNet) to understand how spatiotemporal memories might be learned and encoded in a representational hierarchy for predicting future video frames. The model is inspired by the feedforward, feedback and lateral recurrent circuits in the mammalian hierarchical visual system. It assumes that spatiotemporal memories are encoded in the recurrent connections within each level and between different levels of the hierarchy. The model contains a feed-forward path that computes and encodes spatiotemporal features of successive complexity and a feedback path that projects interpretation from a higher level to the level below. Within each level, the feed-forward path and the feedback path intersect in a recurrent gated circuit that integrates their signals as well as the circuit’s internal memory states to generate a prediction of the incoming signals. The network learns by comparing the incoming signals with its prediction, updating its internal model of the world by minimizing the prediction errors at each level of the hierarchy in the style of predictive self-supervised learning. The network processes data in blocks of video frames rather than a frame-to-frame basis. This allows it to learn relationships among movement patterns, yielding state-of-the-art performance in long range video sequence predictions in benchmark datasets. We observed that hierarchical interaction in the network introduces sensitivity to memories of global movement patterns even in the population representation of the units in the earliest level. Finally, we provided neurophysiological evidence, showing that neurons in the early visual cortex of awake monkeys exhibit very similar sensitivity and behaviors. These findings suggest that predictive self-supervised learning might be an important principle for representational learning in the visual cortex. ", + "bbox": [ + 233, + 271, + 764, + 603 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 633, + 334, + 650 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "While the hippocampus is known to play a critical role in encoding episodic memories, the storage of these memories might ultimately rest in the sensory areas of the neocortex (McClelland & McNaughton, 1999). Indeed, a number of neurophysiological studies suggest that neurons throughout the hierarchical visual cortex, including those in the early visual areas such as V1 and V2, might be encoding memories of object images (Huang et al., 2018) and of visual sequences in cell assemblies (Yao et al., 2007; Han et al., 2008; Xu et al., 2012; Cooke & Bear, 2014; 2015). As specific priors, these memories, together with the generic statistical priors encoded in receptive fields and connectivity of neurons, serve as internal models of the world for predicting incoming visual experiences. In fact, learning to predict incoming visual signals has also been proposed as an objective that drives representation learning in a recurrent neural network in a self-supervised learning paradigm, where the discrepancy between the model’s prediction and the incoming signals can be used to train the network using backpropagation, without the need of labeled data (Elman, 1990; Mathieu et al., 2015; Villegas et al., 2017; Srivastava et al., 2015; O’Reilly et al., 2014; Lee, 2015). ", + "bbox": [ + 174, + 666, + 825, + 847 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In computer vision, a number of hierarchical recurrent neural network models, notably PredNet (Lotter et al., 2016) and PredRNN $^ { + + }$ (Wang et al., 2018), have been developed for video prediction with state-of-the-art performance. PredNet, in particular, was inspired by the neuroscience principle of predictive coding (Mumford, 1991; Rao & Ballard, 1999; Lee, 2015; Dijkstra et al., 2017; Friston, 2018). It learns a LSTM (long short-term memory) model at each level to predict the prediction errors made in an earlier level of the hierarchical visual system. Because the error representations are sparse, the computation of PredNet is very efficient. However, the model builds a hierarchical representation to model and predict its own errors, rather than learning a hierarchy of features of successive complexities and scales to model the world. The lack of a compositional feature hierarchy hampers its ability in long range video predictions. ", + "bbox": [ + 174, + 854, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 172 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Here, we proposed an alternative hierarchical network architecture. The proposed model, HPNet (Hierarchical Prediction Network), contains a fast feedforward path, instantiated currently by a fast deep convolutional neural network (DCNN) that learns a representational hierarchy of features of successive complexity, and a feedback path that brings a higher order interpretation to influence the computation a level below. The two paths intersect at each level through a gated recurrent circuit to generate a hypothetical interpretation of the current state of the world and make a prediction to explain the bottom-up input. The gated recurrent circuit, currently implemented in the form of LSTM, performs this prediction by integrating top-down, bottom-up, and horizontal information. The discrepancy between this prediction and the bottom-up input at each level is called prediction error, which is fed back to influence the interpretation of the gated recurrent circuits at the same level as well as the level above. ", + "bbox": [ + 174, + 180, + 825, + 332 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To facilitate the learning of relationships between movement patterns, HPNet processes data in the unit of a spatiotemporal block that is composed of a sequence of video frames, rather than frame by frame, as in PredNet and $\\mathrm { P r e d R N N + + }$ . We used a 3D convolutional LSTM at each level of the hierarchy to process these spatiotemporal blocks of signals (Choy et al., 2016), which is a key factor underlying HPNet’s better performance in long range video prediction. ", + "bbox": [ + 174, + 340, + 823, + 410 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In the paper, we will first demonstrate HPNet’s effectiveness in predictive learning and its competency in long range video prediction. Then we will provide neurophysiological evidence showing that neurons in the early visual cortex of the primate visual system exhibit the same sensitivity to memories of global movement patterns as units in the lowest modules of HPNet. Our results suggest that predictive self-supervised learning might indeed be an important strategy for representation learning in the visual cortex, and that HPNet is a viable computational model for understanding the computation in the visual cortical circuits. ", + "bbox": [ + 174, + 416, + 825, + 515 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORKS ", + "text_level": 1, + "bbox": [ + 176, + 540, + 349, + 556 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our objective is to develop a hierarchical cortical model for predictive learning of spatiotemporal memories that is competitive both for video prediction, and for understanding the learning principles and the computational mechanisms of the hierarchical visual system. In this regard, our model is similar conceptually to Ullman’s counter-stream model (Ullman, 1995), Mumford’s analysis by synthesis framework (Mumford, 1992), and Hawkin’s hierarchical spatiotemporal memory model (HTM) (Hawkins & George, 2006) for hierarchical cortical processing. At a conceptual level, it can also be considered as a deep learning implementation of hierarchical Bayesian inference model of the visual cortex (Lee & Mumford, 2003; Dayan et al., 1995; Kersten & Yuille, 2003). ", + "bbox": [ + 174, + 575, + 825, + 686 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "HPNet integrates ideas of predictive coding (Mumford, 1992; Rao & Ballard, 1999; Lotter et al., 2016) and associative coding (McClelland & Rumelhart, 1985; Grossberg, 1987). It differs from the predictive coding models (Rao & Ballard, 1999; Lotter et al., 2016) in that it learns a hierarchy of feature representations in the feedforward path to model features in the world as in normal deep convolutional neural networks (DCNN). PredNet, on the other hand, builds a hierarchy to model successive prediction errors of its own prediction of the world. PredNet is efficient because its convolution is operated on sparse prediction error codes, but we believe lacking a hierarchical feature representation limits its ability to model relationships among more global and abstract movement concepts for longer range video prediction. We believe having a fast bottom-up hierarchy of spatiotemporal features of successive scale and abstraction will allow the system to see further into the future and make better prediction. ", + "bbox": [ + 174, + 694, + 825, + 847 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "A key difference between the genre of predictive learning models (HPNet, PredNet) and the earlier predictive coding models implemented by Kalman filters (Rao & Ballard, 1999) or associative coding models implemented by interactive activation (McClelland & Rumelhart, 1985; Grossberg, 1987) is that the synthesis of expectation is not done simply by the feedback path, via weight matrix multiplication, but by local gated recurrent circuits at each level. This key feature makes this genre of predictive learning models more powerful and competent in solving real computer vision problems. ", + "bbox": [ + 174, + 854, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 132 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The idea of predictive learning, using incoming video frames as self-supervising teaching labels to train recurrent networks, can be traced back to Elman (1990). Recently, there has been active exploration of self-supervised learning in computer vision (Palm, 2012; O’Reilly et al., 2014; Goroshin et al., 2015; Srivastava et al., 2015; Patraucean et al., 2015; Vondrick et al., 2016), particularly in the area of video prediction research (Mathieu et al., 2015; Kalchbrenner et al., 2017; Tulyakov et al., 2017; Xu et al., 2018; Oh et al., 2015; Villegas et al., 2017; Lee et al., 2018; Wichers et al., 2018). The large variety of models can be roughly grouped into three categories: autoencoders, DCNN, and hierarchy of LSTMs. Some models also involve feedforward and feedback paths, where the feedback paths have been implemented by deconvolution, autoencoder networks, LSTM or adversary networks (Finn et al., 2016; Lotter et al., 2016; Wang et al., 2017; 2018). Some other models, such as variational autoencoders, allowed multiple hypotheses to be sampled (Babaeizadeh et al., 2017; Denton & Fergus, 2018). ", + "bbox": [ + 174, + 138, + 825, + 305 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "PredRNN $^ { + + }$ (Wang et al., 2018) is the state-of-the-art hierarchical model for video prediction. It consists of a stack of LSTM, with the LSTM at one level providing feedforward input directly to the LSTM at the next level, and ultimately predicting the next video frame at its top level. Thus, its hierarchical representation is more similar to an autoencoder, with the intermediate layers modeling the most abstract and global spatiotemporal memories of movement patterns and the subsequent layers representing the unfolding of the feedback path into a feedforward network with its top-layer’s output providing the prediction of the next frame. PredR $\\mathrm { N N } { + } { + }$ does not claim neural plausibility, but it offers state-of-the-art performance for benchmark performance evaluation, with documented comparisons to other approaches. ", + "bbox": [ + 174, + 311, + 825, + 438 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Recent single-unit recording experiments in the inferotemporal cortex (IT) of monkeys have shown that neurons responded significantly less to predictable sequences than to novel sequences (Meyer & Olson, 2011; Meyer et al., 2014; Ramachandran et al., 2017), suggesting that neural activities might signal prediction errors. The novel neurophysiolgical experiment we presented here demonstrated similar prediction suppression effects in the early visual cortex of monkeys for well-learned videos, suggesting neuronal sensitivity to memories of global movement patterns and scene context in the earliest visual areas. This is consistent with other recent studies that showed neurons in mouse V1 might be able to encode some forms of spatiotemporal memories in their recurrent circuits (Han et al., 2008; Xu et al., 2012; Cooke & Bear, 2015). ", + "bbox": [ + 174, + 444, + 825, + 569 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 HIERARCHICAL PREDICTION NETWORK ", + "text_level": 1, + "bbox": [ + 176, + 597, + 539, + 612 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 CORTICAL MODULE ", + "text_level": 1, + "bbox": [ + 176, + 631, + 354, + 646 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "HPNet is composed of a stack of Cortical Modules (CM). Each CM can be considered as a visual area along the ventral stream of the primate visual system, such as V1, V2, V4 and IT. We used four Cortical Modules in our experiment. The network contains a feedforward path that is realized in a deep convolutional neural network (DCNN), a stack of Long Short Term Memory (LSTM) modules that link the feedforward path and the feedback path together. ", + "bbox": [ + 174, + 660, + 825, + 729 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Figure 1 (a) shows two CMs stacked on top of each other. The feedforward path performs convolution (indicated by $\\star$ ) on the input spatiotemporal block $I _ { l }$ with a kernel to produce $R _ { l }$ , where $l$ indicates CM level. $R _ { l }$ is then down-sampled to provide the input $I _ { l + 1 }$ for $\\mathrm { C M } _ { l + 1 }$ for another round of convolution in the feedforward path. $I _ { l + 1 }$ also goes into $\\mathrm { L S T M } _ { l + 1 }$ (Lhe STM in $\\mathrm { C M t } _ { l + 1 }$ ). In each $\\mathrm { C M } _ { l }$ level, the bottom-up input $I _ { l }$ is compared with the prediction $P _ { l }$ generated from the interpretation output $H _ { l }$ of $\\mathrm { L S T M } _ { l }$ . The prediction error signal is transformed by a convolution into $E _ { l }$ , which is fed back to both $\\mathrm { L S T M } _ { l }$ and $\\mathrm { L S T M } _ { l + 1 }$ to influence their generation of new hypotheses $H _ { l }$ and $H _ { l + 1 }$ . To make the timing relationship between the different interacting variables more explicit, we now use $k$ to indicate time step or, equivalently, the video input frame. $\\mathrm { L S T M } _ { l }$ at step $k$ integrates the bottom-up feature input $\\mathrm { \\bar { \\cal R } } _ { l - 1 } ^ { k }$ , the top-down feedback of the higher CM’s LSTM’s output $H _ { l + 1 } ^ { k }$ , and the prediction errors $E _ { l - 1 } ^ { k }$ and $E _ { l } ^ { k - d }$ to generate new hypothesis output $H _ { l } ^ { k }$ , which is then transformed into a new prediction $P _ { l } ^ { k }$ , where $d$ is is the number of frames in each spatiotemporal block (details in Algorithm 1). ", + "bbox": [ + 174, + 737, + 825, + 924 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/78e52f715bdc1ed4b827d548f5e47231932ee1d6559ad5caa4aa98e07d11ffe8.jpg", + "image_caption": [ + "Figure 1: (a) Two Cortical Modules stacked on top of each other. The input $I _ { 1 }$ would be the spatiotemporal block of video frames. The $\\star$ notation means a convolution along that path. $2 \\uparrow$ indicates up-sampling or expansion operation. $2 \\downarrow$ means down-sample or reduction in resolution. $\\odot$ indicates comparator or subtraction operation; (b) The DCNN analysis path is actually implemented in a sparsified convolution scheme to speed up bottom-up processing; (c) Detailed structure of the LSTM used. $C _ { t }$ is the internal state, and $H _ { t }$ is the output. X is external input, which includes multiple sources in our model. (d) Frame-by-frame method; (e) Block-by-frame method; and (f) Block-by-block method, where left and right part indicates output and input with the middle indicating 2D or 3D convolution LSTM. " + ], + "image_footnote": [], + "bbox": [ + 222, + 99, + 823, + 358 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 SPARSE CONVOLUTION ", + "text_level": 1, + "bbox": [ + 176, + 525, + 377, + 539 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The feedforward DCNN path in Figure 1 (a) runs much faster if the input to each convolution layer is made sparse, as shown in Pan et al. (2018). In video processing, a scheme has been proposed by Liu et al. (2017); Dave et al. (2017); Pan et al. (2018) to sparsify the input of a convolution layer by performing convolution on the difference $\\Delta I _ { l } ^ { k } = I _ { l } ^ { k } - I _ { l } ^ { k - 1 }$ between two consecutive frames, where $k$ indicates the $\\mathbf { k }$ -th frame. The resulting $\\Delta R _ { l } ^ { k }$ is added back to the representation of the last time frame $R _ { l } ^ { k - 1 }$ to recover the representation at the current frame $R _ { l } ^ { k }$ . This allows the network to maintain a full higher order representation $R$ at all times in the next layer while enjoying the benefit of fast computation on sparse input. In their scheme (Pan et al., 2018), the first frame $I ^ { k = 0 }$ was convolved with a set of dense convolution kernels and then the subsequent frames were convolved with a set of sparse convolution kernels. For parsimony and neural plausibility, we used the same set of sparse kernels for processing both the first full frame and the subsequent temporal-difference frames, at the expense of incurring some inaccuracy in our prediction of the first few frames. ", + "bbox": [ + 174, + 551, + 825, + 724 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 SPATIOTEMPORAL BLOCKS AND 3D CONVOLUTION ", + "text_level": 1, + "bbox": [ + 174, + 744, + 570, + 757 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The input data of our network model is a sequence of video frames or a spatiotemporal block. For our implementation, each block contains 5 video frames. If we consider that each frame corresponds roughly to $2 5 ~ \\mathrm { m s }$ , this would translate into $1 2 5 ~ \\mathrm { m s }$ , in the range of the length of temporal kernel of a cortical neuron. Our convolution kernel is in three dimension, processing the video by spatiotemporal blocks. The block could slide in time with a temporal stride of one frame or a stride as large as the length of the block $d$ . The LSTM is a 3D convolutional LSTM (Choy et al., 2016) because of 3D convolution and spatiotemporal blocks. Convolution LSTM (Shi et al., 2015), in which Hadamard product in LSTM is replaced by a convolution, has greatly improved the performance of LSTM in many applications. Earlier video prediction models (e.g. PredNet, PredRNN) processed video sequences frame by frame, as shown in Figure 1 (d). We experimented with different data units and approaches. In the Frame-to-Frame (F-F) approach, an input frame is used to generate one predicted future frame (Figure 1 (d)). In the Block-to-Frame (B-F) approach (Figure 1 (e)), a block of input frames is used to generate one predicted future frame. This approach is time consuming, but provides more accurate near-range predictions. For longer-range predictions, we found using a spatiotemporal block to predict a spatiotemporal block, i.e. the Block-to-Block (B-B) approach ( Figure 1(f)), to be the most effective, because the LSTM learns the relationship between movement segments in the sequences. The details of our algorithm of the 3D convolutional LSTM is specified in Appendix A. ", + "bbox": [ + 174, + 770, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 202 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.4 TRAINING AND LOSS FUNCTION ", + "text_level": 1, + "bbox": [ + 176, + 218, + 439, + 232 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The entire network is trained by minimizing a loss function which is the weighted sum of all the prediction errors, with the following algorithm, ", + "bbox": [ + 176, + 243, + 823, + 272 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/1435546974e46b75d04806c66d5b313b2aa853ec7f54b995aff6943e0323ec4a.jpg", + "text": "$$\n\\begin{array} { r l } { I _ { l } ^ { k } = \\left\\{ \\begin{array} { l l } { M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } ) ) } & { l > 1 } \\\\ { x _ { t } } & { l = 1 } \\end{array} \\right. P _ { l } ^ { k } = \\left\\{ \\begin{array} { l l } { R e L U ( c o n v ( H _ { l } ^ { k } ) ) } & { l > 1 } \\\\ { S A T L ( R e L U ( c o n v ( H _ { l } ^ { k } ) ) ) } & { l = 1 } \\end{array} \\right. } \\\\ { \\Delta I _ { l } ^ { k } = I _ { l } ^ { k } - I _ { l } ^ { k - d } , } & { \\Delta E _ { l } ^ { k } = I _ { l } ^ { k } - P _ { l } ^ { k } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 210, + 287, + 779, + 421 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $x _ { t }$ is the input sequence, $H _ { l } ^ { k }$ is the output of LSTM, $P _ { l } ^ { k }$ is the prediction, SATLU is a saturating non-linearity set at the maximum pixel value: $\\mathrm { S A T L U } ( x ; p _ { m a x } ) { : = \\operatorname* { m i n } ( p _ { m a x } , x ) }$ , spconv is sparse convolution, $\\lambda _ { k }$ and $\\lambda _ { l }$ are weighting factors by time and CM level, respectively, and $n _ { l }$ is the number of units in the lth CM level, and $d$ is the number of frames in each spatiotemporal block. The full algorithm is shown in Algorithm 1. ", + "bbox": [ + 174, + 429, + 825, + 501 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 EXPERIMENTAL RESULTS ", + "text_level": 1, + "bbox": [ + 176, + 520, + 419, + 536 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this section, we first evaluate the performance of our model in video prediction using two benchmark datasets: (1) synthetic sequences of the Moving-MNIST database and (2) the $\\mathrm { K T \\check { H } ^ { 1 } }$ real world human movement database. We then investigate the representations in the model to understand how recurrent network structures have impacted on the feedforward representation. We finally compare the temporal activities of neurons in the network model with that of neurons in the visual cortex of monkeys, in video sequence learning, to evaluate the plausibility of HPNet. ", + "bbox": [ + 174, + 551, + 825, + 636 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Since for video prediction, PredNet is the most neurally plausible model and $\\mathrm { P r e d R N N + + }$ provides state-of-the-art computer vision performance, we will compare HPNet’s performance with these two network models. Because these two models work on frame-to-frame basis, we implemented three versions of our network for comparison: (1) Frame-to-Frame (F-F), where we set our data spatiotemporal block size to one frame and used 2D convLSTM instead of 3D convLSTM to predict the next frame based on the current frame; (2) Block-to-Frame (B-F), where we used a sliding block window to predict the next frame based on the current block of frames; (3) Block-to-Block (B-B), where the next spatiotemporal block was predicted from the current spatiotemporal block (Figure 1 (d)). ", + "bbox": [ + 173, + 642, + 825, + 768 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We trained all five networks using 40-frame sequences extracted from the two databases in the same way as described in (Lotter et al., 2016; Wang et al., 2018). We then compared their performance in predicting the next 20 frames when only the first 20 frames were given. The test sequences were drawn from the same dataset but not in the training set. The common practice in PreNet and $\\mathrm { P r e d R N N + + }$ for predicting future frames when input is no longer available is to make the prediction of the last time step the next input and use that to generate prediction of the next time step. All models tested have four modules (layers). All three versions of our model and PredNet used the same number of feature channels in each layer, optimized by grid search, i.e. (16,32,64,128) for the Moving-MNIST dataset, and (24,48,96,192) for the KTH dataset. For PredRNN $^ { + + }$ , we used ", + "bbox": [ + 173, + 775, + 825, + 900 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Algorithm 1 The algorithm of our model ", + "text_level": 1, + "bbox": [ + 178, + 103, + 444, + 117 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Input: $I _ { 1 } ^ { k } \\gets x _ { t }$ \n1: for $t = 1$ to $T$ do \n2: for $l = L$ to 1 do . Top-down procedure \n3: if $l = L$ then \n4: $H _ { l } ^ { k } = 3 D c o n v L S T M ( H _ { l } ^ { k - d } , E _ { l } ^ { k - d } , M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } , E _ { l - 1 } ^ { k } ) ) )$ \n5: else \n6: $H _ { l } ^ { k } = 3 D c o n v L S T M ( H _ { l } ^ { k - d } , E _ { l } ^ { k - d } , M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } , E _ { l - 1 } ^ { k } ) ) , u p s a m p l e ( H _ { l + 1 } ^ { k } ) )$ \n7: end if \n8: end for \n9: for $l = 1$ to $L$ do . Bottom-up procedure \n10: if $l = 1$ then \n11: $I _ { l } ^ { k } = x _ { t } , \\ P _ { l } ^ { k } = S A T L U ( R e L U ( c o n v ( H _ { l } ^ { k } ) ) )$ \n12: else \n13: $I _ { l } ^ { k } = M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } ) ) , P _ { l } ^ { k } = R e L U ( c o n v ( H _ { l } ^ { k } )$ \n14: end if \n15: $\\overline { { \\Delta I _ { l } ^ { k } } } = I _ { l } ^ { k } - I _ { l } ^ { k - d } , \\Delta R _ { l } ^ { k } = s p c o n v ( \\Delta I _ { l } ^ { k } ) , R _ { l } ^ { k } = R _ { l } ^ { k - d } + \\Delta R _ { l } ^ { k }$ \n16: ∆ E kl = I kl − P kl , $E _ { l } ^ { k } = s p c o n v ( \\Delta E _ { l } ^ { k } )$ \n17: end for \n18: end for ", + "bbox": [ + 176, + 125, + 823, + 368 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "the same architecture and feature channel numbers provided by Wang et al. (2018). All kernel sizes are either $3 \\times 3$ (for F-F) or $3 \\times 3 \\times 3$ (for B-F and B-B) for all five models. The input image frame’s spatial resolution is $6 4 \\times 6 4$ . ", + "bbox": [ + 174, + 397, + 825, + 439 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The models were trained and tested on GeForce GTX TITAN X GPUs. We evaluated the prediction performance based on two quantitative metrics: Mean-Squared Error (MSE) and the standard Structural Similarity Index Measure (SSIM) (Wang et al., 2004) of the last 20 frames between the predicted frames and the actual frames. The values of SSIM range from -1 to 1, with a larger value indicating greater similarity between the predicted frames and the actual future frames. ", + "bbox": [ + 174, + 446, + 825, + 516 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 SYNTHETIC SEQUENCE PREDICTION ON THE MOVING-MNIST DATASET ", + "text_level": 1, + "bbox": [ + 174, + 536, + 710, + 550 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We randomly chose subsets of digits in the Moving MNIST2 dataset in which the video sequences contain two handwritten digits bouncing inside a frame of $6 4 \\times 6 4$ pixels. We extracted 40-frame sequences at random starting frame position in the video in the same way as in Srivastava et al. (2015) (followed by PredNet and PredRNN $^ { + + }$ ). This extraction process is repeated 15000 times, resulting in a training set of 10000 sequences, a validation set of 2000 sequences, and a testing set of 3000 sequences. ", + "bbox": [ + 174, + 563, + 825, + 646 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Figure 2 and Table 1 compare the results of different models on the Moving-MNIST dataset. There are 40 frames in total and we show the results every two frames. The yellow vertical line in the middle represents the border between the first 20 and the last 20 predicted frames by various models. We can see B-F achieves better performance than B-B in short term prediction task when actual input frames are provided, but B-B outperforms B-F in the longer range prediction, reflecting learning of the relationships at the movement levels by the 3D convLSTM. B-F doing better than F-F confirmed that the spatiotemporal block data structure provides additional information for modeling movement tendency. Finally, we found that even F-F achieved better prediction results than PredNet, suggesting that a feature hierarchy might be more useful than a hierarchy of predicted errors. Finally, our B-B network outperformed the state-of-the-art PredRNN $^ { + + }$ . ", + "bbox": [ + 174, + 654, + 825, + 792 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 REAL-WORLD SEQUENCE PREDICTION ON THE KTH DATASET ", + "text_level": 1, + "bbox": [ + 176, + 813, + 642, + 827 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Schuldt et al. (2004) introduced the KTH video database which contains 2391 sequences of six ¨ human actions: walking, jogging, running, boxing, hand waving, and hand clapping, performed by 25 subjects in four different scenarios. We divided video clips across all 6 action categories into a training set of 108717 sequences (persons $\\# 1 - 1 6 )$ ) and a test set of 4086 sequences (persons $\\# 1 7$ - ", + "bbox": [ + 174, + 839, + 825, + 895 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/a72c9c51fbb7c5180ada71286fb5a2c6b87e525e6512b595f67a3f37b124be03.jpg", + "image_caption": [ + "Figure 2: Video prediction results on Moving-MNIST dataset, where the first row to last row are ground truth (GT), results from three different version of HPNet (block-to-block (B-B), block-toframe (B-F), frame-to-frame (F-F)), PredNet, and $\\mathrm { P r e d R N N + + }$ , respectively. ${ \\bf k } { = } 1$ to $\\mathbf { k } { = } 1 9$ are predicted frames of the models when the input frames were available. $\\mathrm { k } { = } 2 1$ to $\\mathrm { k } = 3 9$ are the ”deadreckoning” predicted frames of the model when there are no input. " + ], + "image_footnote": [], + "bbox": [ + 174, + 98, + 823, + 261 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/c51ed9ffdddf4e5a61c17afadbff4b58959620a8436a413fb37e396a33acee89.jpg", + "table_caption": [ + "Table 1: Comparison Results of different methods on Moving-MNIST datatset for long time prediction experiment. " + ], + "table_footnote": [], + "table_body": "
MethodSSIMMSE
Ours(B-B)0.91565.2
Ours(B-F)0.79373.2
CM+ConvLSTM (F-F)0.69289.5
PredNet (Lotter et al., 2016)0.658101.2
PredRNN++ (Wang et al., 2018)0.87269.4
", + "bbox": [ + 173, + 415, + 493, + 496 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/a7e5bd04d48abe817b1a999eb8203d2980a296690cba7767694ceae7945af6f7.jpg", + "table_caption": [ + "Table 2: Comparison Results of different methods on the KTH datatset for long time prediction experiment. " + ], + "table_footnote": [], + "table_body": "
MethodSSIMMSE
Ours(B-B)0.88280.3
Ours(B-F)0.78493.1
CM+ConvLSTM (F-F)0.701103.4
PredNet (Lotter et al., 2016)0.656108.9
PredRNN++ (Wang et al., 2018)0.86586.7
", + "bbox": [ + 500, + 415, + 820, + 496 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "25) as was done in Wang et al. (2018), except we extracted 40-frame sequences. We center-cropped each frame to a $1 2 0 \\times 1 2 0$ square and then re-sized it to input frame size of $6 4 \\times 6 4$ . ", + "bbox": [ + 173, + 525, + 825, + 553 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/18c628c442287f0ce09ccb8e63c6191b299b6c46c8e6eed3d1d035906c769d3e.jpg", + "image_caption": [ + "Figure 3: Video prediction results on the KTH dataset, where the first row to last row are ground truth (GT), results from block-to-block (B-B), block-to-frame (B-F), frame-to-frame (F-F), PredNet, and PredRNN $^ { + + }$ , respectively, same format as Figure 2. " + ], + "image_footnote": [], + "bbox": [ + 174, + 565, + 825, + 724 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Figure 3 and Table 2 compared the results of the different models on the KTH dataset, essentially reproducing all the observations we made based on the Moving-MINST dataset (Figure 2). BB outperformed all tested models in the long range video prediction task. Figure 4 (a) and (b) compared the video prediction performance of the different models in terms of the “dead-reckoning frames” to be predicted when only the first twenty frames were provided for the two datasets. The results show that, in both cases, B-B is far more effective than B-F in long range video prediction. Figure 4 (c) showed that the ratio of SSIM and training time peaks at a 4-module network. The SSIM of a 5-module network was about the same as that of a 4-module network but took longer time to converge. The B-F, with a sliding window of a single frame stride, took much longer to train yet still under-performed. Figure 4 (d) showed SSIM performance and training time of the different models. It shows that the B-B (sparse) version of HPNet took only $10 \\%$ longer to train than PredRNN $^ { + + }$ even though it has more loops into the networks and has to process spatiotemporal blocks. Both PredR $\\mathrm { N N } { + } { + }$ and HPNet require twice amount of the training time relative to PredNet, illustrating the computational efficiency of using sparse codes. Sparsifying our DCNN feedforward path reduced our B-B network’s training time by $13 \\%$ (comparing B-B (sparse) versus B-B (non-sparse) in Figure 4 (d)). ", + "bbox": [ + 173, + 797, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 200 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/c54b32dff62dc386cd978ee7162bd2cd751997b7e83c9dd684f43c4719c5c414.jpg", + "image_caption": [ + "Figure 4: (a) Comparison of the prediction results of the five models for the Moving-MINST dataset on the last 20 frames in structural similarity measures (SSIM). (b) Comparison of the prediction results on the KTH datset. (c) Comparison of the performance (and training time) of the B-B and the B-F networks as a function of the number of modules in the network. (d) Training time versus SSIM performance of the different models. Note, the training time $\\mathbf { \\tau } ( \\mathbf { x } )$ axis not in a linear scale. " + ], + "image_footnote": [], + "bbox": [ + 191, + 213, + 808, + 327 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "To understand the importance of the hierarchical representation and recurrent feedback in the model, we trained the B-B network with different numbers of modules and then used t-SNE (van der Maaten & Hinton, 2008) to visualize the representation $R$ in the different modules of the various networks in response to the last of the 20 future dead-reckoning frames of 600 testing sequences belonging to the six movements in the KTH dataset. The results are shown in Figure 5. We observed that having more higher modules introduced cluster of global movement patterns in the representation units even in the earliest module (Figure 5 (a) versus Figure 5 (e)), which resulted in significant decoding accuracy improvement in the classification of the six classes of movement patterns, from chance $( 1 6 \\% )$ to $26 \\%$ , based on the unit activities in the first module alone. The representations of the top module of the 4-module network provide a decoding accuracy of $63 \\%$ , suggesting that the HPNet has learned semantically meaningful hierarchical spatiotemporal feature representations (see Appendix B for details) and can learn movement-to-movement relationships for making better long range video predictions (see also Kheradpisheh et al. (2018)). Decoding results indicate that higher order semantic representations of the global movement patterns are significantly weaker or absent in the hierarchical representations of PredRNN or PredNet respectively (see Appendix B for details). ", + "bbox": [ + 174, + 422, + 825, + 630 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3 VISUAL SEQUENCE LEARNING EFFECTS IN THE VISUAL CORTEX ", + "text_level": 1, + "bbox": [ + 176, + 648, + 655, + 661 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Hierarchical feedback in HPNet endows the representations in the earliest Cortical Modules with sensitivity to global movement and image patterns, despite these units’ very localized receptive fields, particularly R in the feedforward path (Figure 5). Could the neurons in the early visual areas of the mammalian hierarchical visual systems behave in a similar way, becoming sensitive to the memory of global movement patterns of familiar movies? ", + "bbox": [ + 174, + 672, + 825, + 742 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We found this to be the case in a series of neurophysiological experiments that we have performed to study the effect of unsupervised learning of video sequences on the early visual cortical representations. Two monkeys, implanted with Gray-Matter semi-chronic multielectrode arrays (SC32 and SC96) over the V1 operculum with access to neurons in V1 and V2, participated in the experiment. Each experiment lasted for at least seven daily recording sessions. In each recording session, the monkey was required to fixate on a red dot on the screen for a water reward while a set of 40 video clips of natural scenes with global movement patterns was presented. One clip was presented per trial. Each clip lasted for $8 0 0 ~ \\mathrm { { m s } }$ . A total of 40 clips were presented once each in a random interleaved fashion in a block of trials, and each block was repeated 20-25 times each day3. Among the ", + "bbox": [ + 173, + 750, + 825, + 876 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "40 movie clips tested every day, twenty of these were the same each day, designated as “Predicted set”. Twenty of them were different each day, designated as “Unpredicted set”. Each set consisted of 20 movies. ", + "bbox": [ + 174, + 103, + 825, + 146 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/9519100cf2967e267437c1c3a9cb4b017da0545800c0379da636e5fcacda3850.jpg", + "image_caption": [ + "Figure 5: (a)-(d) are the top CM’s R representation of networks with different number of modules, from one to four; (e)-(h) are the representation of each modules in a four-modules network, from the first module to the fourth, left to right. Better clustering leads to better decoding results of the different movement classes. Full details are in Appendix B. " + ], + "image_footnote": [], + "bbox": [ + 271, + 165, + 722, + 345 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The rationale for the experimental design is as follows. Given that we were recording from $3 0 +$ neurons in each session, even though the neurons have different stimulus preferences in their local receptive fields, each neuron would experience about 400 movie frames for the Predicted movie set, as well as for each of the Unpredicted movie sets. When we averaged the temporal responses of all the neurons to each of the 20-movie sets, they should be roughly the same. In the first two days of the experiment, the clips in the Predicted set were still unpredicted, hence there should have been no difference between the population averaged responses to the Predicted set and the Unpredicted set. This was indeed the case as shown in Figure 6b (top row) which compared the averaged temporal responses of the neurons to the Predicted set and to the Unpredicted set for the first two days of training in one experiment. ", + "bbox": [ + 174, + 438, + 825, + 577 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Interestingly, we found that after only three days of unsupervised training, with 20-25 exposures of each familiar movie per day, the neurons started to respond significantly less to predicted movies than to novel movies in the later part of their responses, starting around $1 0 0 \\mathrm { m s }$ post-stimulus onset, as shown in Figure 6(b) (bottom row). The evolution of daily mean of all neurons’ familiarity suppression index over days is shown as the magenta curve. As the neurons became more and more familiar with the Predicted set, the prediction suppression effect gradually increased and saturated at around the sixth and seventh days. We repeated the experiments six times in two monkeys and obtained fairly consistent results. Note that the movie clips were shown in a $8 ^ { o }$ aperture during the experiment. Given that the V1 and V2 neurons being studied have very local and small receptive fields $0 . 5 ^ { o }$ to $2 ^ { o }$ ), it is rather improbable that the neurons would have remembered or adapted to the local movement patterns of the Predicted set within their receptive fields, as they would be experiencing millions of such local spatiotemporal patterns in their daily experience. Indeed, when the video clips were shown to the neurons through a smaller $3 ^ { o }$ diameter aperture, the prediction suppression effects were much attenuated, suggesting that the neurons had indeed became sensitive to the global context of movement patterns! ", + "bbox": [ + 173, + 584, + 825, + 791 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To check whether neurons in our network behave in the same way, we performed a similar experiment on our network, pretrained with the KTH dataset. We randomly extracted 20 sequences from the BAIR dataset (Ebert et al., 2017), resized the sequence length to 40 frames and each frame size to $6 4 \\times 6 4$ . We separated the 20 video sequences into two sets – the Predicted set and the Unpredicted set. We averaged the responses to the two movie sets respectively of each type of neurons in the network $E$ (prediction error units), $P$ (prediction units), and $R$ (representation units)) in each CM within the center $8 \\times 8$ hypercolumns. Before training, the responses of each type of neurons are indeed the same for both movie sets (not shown, but similar to Figure 6(b) data). Then, we trained the network with the Predicted set for 2000 epochs. After training, all three types of units in each ", + "bbox": [ + 173, + 799, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "CM exhibited the prediction suppression effect as shown in Figure 6 (c)-(h) (full details in Appendix C). ", + "bbox": [ + 169, + 103, + 823, + 133 + ], + "page_idx": 9 + }, + { + "type": "image", + "img_path": "images/e5f66d7a3e15ecbee2b1ef73fd797ecbddf19d736dba1d6e32d12e9a48d2243b.jpg", + "image_caption": [ + "Figure 6: (a) The development of the prediction suppression effect across days in one experiment. Each dot is the prediction suppression index of a neuron. Color indicates whether the effect was significant or not (red - significant, blue - insignificant, green - significant in the opposite way) based on t-test with $p < 0 . 0 5$ as statistical significance threshold. (b) Averaged temporal responses of the V1 and V2 neurons (combined) of one monkey to Predicted set and the Unpredicted sets in the first two days (top row), showing no difference. The averaged responses (combining data from day 5 to day 12) to the Predicted set was significantly weaker than the responses to the Unpredicted sets, indicating prediction suppression. (c)-(e) Module 1’s normalized averaged population responses of the three types of units to the Predicted set and the Unpredicted set. (f)-(h) Module 4’s normalized averaged population responses of the three types of units. " + ], + "image_footnote": [], + "bbox": [ + 176, + 147, + 823, + 316 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We observed the prediction suppression effect in all three types of neurons in all the modules in the hierarchy, with the higher modules showing a stronger effect. It is not surprising that the prediction error neurons $E$ would decrease their responses as the network learns to predict the familiar movies better. It is rather interesting to find the representation neurons $R$ and the prediction neurons $P$ also exhibit prediction suppression, even though these neurons represent features rather than prediction errors. The precise reasons remain to be determined, but the fact that all neuron types in the model exhibited the prediction suppression effect might explain why the prediction suppression effects were commonly observed in most of the randomly sampled neurons in the visual cortex (see Figure 6a). These findings suggest that (1) predictive self-supervised learning might indeed be an important principle and mechanism by which the visual cortex learns its representations, and (2) the neurophysiological observations on prediction suppression in IT (see Appendix D) and now in the early visual cortex might be explained by this class of hierarchical cortical models. ", + "bbox": [ + 173, + 494, + 825, + 662 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 683, + 318, + 699 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In this paper, we developed a hierarchical prediction network model (HPNet), with a fast DCNN feedforward path, a feedback path and local recurrent LSTM circuits for modeling the counterstream / analysis-by-synthesis architecture of the mammalian hierarchical visual systems. HPNet utilizes predictive self-supervised learning as in PredNet and PredRNN $^ { + + }$ , but integrates additional neural constraints or theoretical neuroscience ideas on spatiotemporal processing, counter-stream architecture, feature hierarchy, prediction evaluation and sparse convolution into a new model that delivers the state-of-the-art performance in long range video prediction. Most importantly, we found that the hierarchical interaction in HPNet introduces sensitivity to global movement patterns in the representational units of the earliest module in the network and that real cortical neurons in the early visual cortex of awake monkeys exhibit very similar sensitivity to memories of global movement patterns, despite their very local receptive fields. These findings support predictive self-supervised learning as an important principle for representation learning in the visual cortex and suggest that HPNet might be a viable computational model for understanding the cortical circuits in the hierarchical visual system at the functional level. Further evaluations are needed to determine definitively whether PredNet or HPNet is a better fit to the biological reality. ", + "bbox": [ + 174, + 715, + 825, + 922 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 102, + 287, + 117 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Mohammad Babaeizadeh, Chelsea Finn, Dumitru Erhan, Roy H. Campbell, and Sergey Levine. Stochastic variational video prediction. CoRR, abs/1710.11252, 2017. 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", + "bbox": [ + 173, + 608, + 821, + 637 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 102, + 263, + 117 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A 3D CONVOLUTIONAL LSTM ", + "text_level": 1, + "bbox": [ + 178, + 133, + 447, + 151 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Because our data are in the unit of spatitemporal block, we have to use a 3D form of the 2D convolutional LSTM. 3D convolutional LSTM has been used by Choy et al. (2016) in the stereo setting. The dimensions of the input video or the various representations $[ , E $ and $H$ ) in any module are $c \\times d \\times h \\times w$ , where $c$ is the number of channels, $d$ is the number of adjacent frames, $h$ and $w$ specify the spatial dimensions of the frame. The 3D spatiotemporal convolution kernel is $m \\times k \\times k$ in size, where $m$ is kernel temporal depth and $k$ is kernel spatial size. The spatial stride of the convolution is 1. The size of the output with $n$ kernels is $n \\times d \\times h \\times w$ . We define the inputs as $X _ { 1 } , . . . , X _ { t }$ , the cell states as $C _ { 1 } , . . . , C _ { t }$ , the outputs as $H _ { 1 } , . . . , H _ { t }$ , and the gates as $i _ { t } , f _ { t } , o _ { t }$ . Our 3D convolutional LSTM is specified by the equations below, where the function of 3D convolution is indicated by $\\star$ and the Hadamard product is indicated by $\\circ$ . ", + "bbox": [ + 173, + 165, + 825, + 306 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/6151bce3616f78277bc3c2605b91cc3b5cd685c1eab70959eab6785855b140cf.jpg", + "text": "$$\n\\begin{array} { r l } & { i _ { t } = \\sigma ( W _ { x i } \\star X _ { t } + W _ { h i } \\star H _ { t - 1 } + W _ { c i } \\circ C _ { t - 1 } + b _ { i } ) } \\\\ & { f _ { t } = \\sigma ( W _ { x f } \\star X _ { t } + W _ { h f } \\star H _ { t - 1 } + W _ { c f } \\circ C _ { t - 1 } + b _ { f } ) } \\\\ & { C _ { t } = f _ { t } \\circ C _ { t - 1 } + i _ { t } \\circ t a n h ( W _ { x c } \\star X _ { t } + W _ { h c } \\star H _ { t - 1 } + b _ { c } ) } \\\\ & { o _ { t } = \\sigma ( W _ { x o } \\star X _ { t } + W _ { h o } \\star H _ { t - 1 } + W _ { c o } \\circ C _ { t } + b _ { o } ) } \\\\ & { H _ { t } = o _ { t } \\circ t a n h ( C _ { t } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 299, + 320, + 699, + 411 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B SEMANTIC CLUSTERING IN THE HIERARCHICAL REPRESENTATIONS ", + "text_level": 1, + "bbox": [ + 169, + 426, + 767, + 443 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/c0e556c9d7f79ffdcd2a3195b469c4be33fc009cc3505934f6a6f9a4ba0df9bc.jpg", + "image_caption": [ + "Figure 7: Visualization of R representational units of the different modules in (a) a one-module network; (b)-(c) a two-module network; (d)-(f) a three-module network; and (g)-(j) a four-module network. " + ], + "image_footnote": [], + "bbox": [ + 258, + 465, + 740, + 864 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Figure 7 compares the t-SNE (van der Maaten & Hinton, 2008) projection of the responses of the R representation units in the center $8 \\times 8$ “hypercolumns” of the different modules for networks of different number of modules to the 6 movement classes in the KTH dataset. Partial results are shown in Figure 5 of the main text of the paper. The figures demonstrate that as more higher order modules are stacked up in the hierarchy, the semantic clustering into the six movement classes become more pronounced even in the early modules, suggesting that the hierarchical interaction has steered the feature representation into semantic clusters even in the early modules. Module 4-1 means representation of module 1 in a 4-module network. ", + "bbox": [ + 173, + 103, + 825, + 214 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We use linear decoding (multi-class SVM) to assess the distinctiveness of the semantiuc clusters in the representation of the different modules in the different networks. The decoding results in Table 3 shows that the decoding accuracy based on the reprsentation of module 1 has improved from chance $( 1 6 \\% )$ to $26 \\%$ , an improvement of $60 \\%$ between a 1-module HPNet and a 4-module HPNet, and that the representation of module 4 of a 4-module HPNet can achieve a $63 \\%$ accuracy in classifying the six movement classes, suggesting that the network only needs to learn to predict unlabelled video sequences, and it automatically learns reasonable semantic representations for recognition. ", + "bbox": [ + 173, + 222, + 825, + 320 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/9a26b91d01793d1dbe7ba2eb7925ab924abfb1fd4b0780b52d8e893a796a4e40.jpg", + "table_caption": [ + "Table 3: Our model’s decoding results of six movement classes in the KTH dataset based on R representations in different modules of networks of different number of modules. Module 4-2 means Module 2 of a 4-module HPNet. " + ], + "table_footnote": [], + "table_body": "
Representation inModule 1-1Module 2-1Module 3-1Module 4-1
Mean decoding accuracy0.160.190.210.26
Representation inModule 4-1Module 4-2Module 4-3Module 4-4
Mean decoding accuracy0.260.450.570.63
", + "bbox": [ + 232, + 412, + 761, + 469 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "For comparison, we also performed decoding on the output representations of each LSTM layer in the PredR $\\mathrm { N N } { + } +$ and PredNet to study their representations of the six movement patterns. The results shown below indicate that the semantic clustering of the six movements is not very strong in the $\\mathrm { P r e d R N N + + }$ hierarchy. We realized that this might be because the PredR $\\mathrm { N N } { + } { + }$ behaves essentially like an autoencoder. The four-layer network effectively only has two layers of feature abstraction, with layer 2 being the most semantic in the hierarchy and layers 3 and 4 representing the unfolding of the feedback path. Decoding results indicate that the hierarchical representation based on the output of the LSTM at every layer in PredNet, which serve to predict errors of prediction errors of the previous layer, does not contain semantic information about the global movement patterns. ", + "bbox": [ + 173, + 510, + 825, + 636 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/cf30c9ddd8f75f84fa33bf18099e5f03805ebe1ba06621a421c62fe08f1dcc9f.jpg", + "table_caption": [ + "Table 4: PredR $\\mathrm { N N } { + } { + }$ ’s decoding results of six movement classes in the KTH dataset based on representations in the different layers of the network. " + ], + "table_footnote": [], + "table_body": "
Representation inLayer 1Layer 2Layer 3Layer 4
Mean decoding accuracy0.180.230.180.16
", + "bbox": [ + 281, + 715, + 712, + 744 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/652e4788711b843f8f51f9a6c54bc551db0867f2875a9c1df0de26e1442120ac.jpg", + "table_caption": [ + "Table 5: PredNet’s decoding results of six movement classes in the KTH dataset based on LSTM representations in the different layers of the network. " + ], + "table_footnote": [], + "table_body": "
Representation inLayer 1Layer 2Layer 3Layer 4
Mean decoding accuracy0.160.110.100.10
", + "bbox": [ + 281, + 858, + 710, + 887 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C PREDICTION SUPPRESSION EFFECTS IN VIDEO SEQUENCE LEARNING IN HPNET ", + "text_level": 1, + "bbox": [ + 171, + 102, + 812, + 135 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/a52d9a7b53db63f51aaa466a911037f6c15e102401c1ecbadaad8c28d6b81c90.jpg", + "image_caption": [ + "Figure 8: Results of video sequence learning experiments showing prediction suppression can be observed in $E$ , $P$ , and $R$ units in every module along the hierarchical network. The abscissa is time after stimulus onset - where we set each video frame to be $2 5 ~ \\mathrm { m s }$ for comparison with neural data. The ordinate is the normalized averaged temporal response of all the units within the center $8 \\times 8$ hypercolumns, averaged across all neurons and across the 20 movies in the Predicted set (blue) and the Unpredicted set (red) respectively. Prediction suppression can be observed in all types of units, though more pronounced in the E and $\\mathrm { \\bf P }$ units. " + ], + "image_footnote": [], + "bbox": [ + 209, + 167, + 789, + 453 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D PREDICTION SUPPRESSION EFFECT IN IT NEURONS AND HPNET ", + "text_level": 1, + "bbox": [ + 174, + 597, + 740, + 613 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "HPNet readily reproduces the prediction suppression effects observed in IT neurons. Meyer & Olson (2011) trained monkeys to image pairs in a fixed order for over 800 trials for each 8 pair images, and then compared the responses of the neurons to these images in the trained order against the responses of the neurons to the same images but in novel pairings. Figure 9 shows the mean responses of 81 IT neurons during testing stage for predicted pairs and unpredicted pairs. All the stimuli are presented in both pairs. They found that neural responses to the expected second images in a familiar sequence order is much weaker than the neural responses to the image in an unfamiliar or unexpected sequence order. To evaluate whether HPNet can produce the same effect, we performed exactly the same experiments with 2000 epochs of training on the image pairs, with a gap of 2 frames, and our model produced the same results, with lower responses for the predicted second stimulus relative to the unpredicted second stimulus. Each stimulus sequence was presented first with 5 gray frames, followed by 10 frames of the first image in the pair, then 2 gray frames as gap, then 10 frames of the second image in the pair. The responses of the units to the trained set and the untrained set are the same prior to training. After training, the images when arranged in the trained order responded much less after the initial responses than the same images but arranged in unpredicted pairs. The result shown in Figure 10 duplicated the observations in Meyer & Olson (2011), the average neural response of $E$ unit is lower than the unpredicted pairs. All three types of units of NPNet exhibit prediction suppression though the effect is much weaker for the R units (see Figure 11. Lotter et al. (2018) also tested the prediction suppression effect, but their model couldn’t allow any gap between the stimuli as in the experiment. Our model can handle gap because of our model is processing information in spatiotemporal blocks. ", + "bbox": [ + 173, + 632, + 825, + 924 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/dadf1c00e4142c5d9085ecb55c8cae4ef9d1f1d31d877d4431b6da52878f9a57.jpg", + "image_caption": [ + "Figure 9: Prediction suppression in IT neurons ((Meyer & Olson, 2011)). " + ], + "image_footnote": [], + "bbox": [ + 230, + 103, + 429, + 227 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/4bfafb24e1bf7b578d7b8a0d93fc8608570cb8c01cfbd2d31c90b01803090968.jpg", + "image_caption": [ + "Figure 10: Prediction suppression results on $E 4$ units in HPNet. " + ], + "image_footnote": [], + "bbox": [ + 549, + 106, + 764, + 226 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/a59f40cc192119d38876a7577eb784609d40eeeab86412eeddb413ef21c94456.jpg", + "image_caption": [ + "Figure 11: Prediction suppression behaviors in the E, P, and R units of module 4 of HPNet, respectively. " + ], + "image_footnote": [], + "bbox": [ + 205, + 296, + 790, + 411 + ], + "page_idx": 16 + } +] \ No newline at end of file diff --git a/parse/train/BJl_VnR9Km/BJl_VnR9Km_middle.json b/parse/train/BJl_VnR9Km/BJl_VnR9Km_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..ca5b0279ae8aeda794425cd7fa1d117aab0260c0 --- /dev/null +++ b/parse/train/BJl_VnR9Km/BJl_VnR9Km_middle.json @@ -0,0 +1,43012 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 80, + 503, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 79, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 506, + 101 + ], + "score": 1.0, + "content": "A MODEL CORTICAL NETWORK FOR SPATIOTEMPORAL", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 101, + 401, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 101, + 401, + 120 + ], + "score": 1.0, + "content": "SEQUENCE LEARNING AND PREDICTION", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 138, + 244, + 159 + ], + "lines": [ + { + "bbox": [ + 113, + 138, + 201, + 150 + ], + "spans": [ + { + "bbox": [ + 113, + 138, + 201, + 150 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 148, + 245, + 161 + ], + "spans": [ + { + "bbox": [ + 112, + 148, + 245, + 161 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 278, + 189, + 333, + 201 + ], + "lines": [ + { + "bbox": [ + 276, + 189, + 335, + 202 + ], + "spans": [ + { + "bbox": [ + 276, + 189, + 335, + 202 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 215, + 468, + 478 + ], + "lines": [ + { + "bbox": [ + 141, + 215, + 469, + 227 + ], + "spans": [ + { + "bbox": [ + 141, + 215, + 469, + 227 + ], + "score": 1.0, + "content": "In this paper we developed a hierarchical network model, called Hierarchical Pre-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 226, + 469, + 238 + ], + "spans": [ + { + "bbox": [ + 141, + 226, + 469, + 238 + ], + "score": 1.0, + "content": "diction Network (HPNet) to understand how spatiotemporal memories might be", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 237, + 469, + 249 + ], + "spans": [ + { + "bbox": [ + 141, + 237, + 469, + 249 + ], + "score": 1.0, + "content": "learned and encoded in a representational hierarchy for predicting future video", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 248, + 470, + 261 + ], + "spans": [ + { + "bbox": [ + 141, + 248, + 470, + 261 + ], + "score": 1.0, + "content": "frames. 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These findings suggest that predictive self-supervised learning might", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 467, + 442, + 480 + ], + "spans": [ + { + "bbox": [ + 141, + 467, + 442, + 480 + ], + "score": 1.0, + "content": "be an important principle for representational learning in the visual cortex.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 16.5 + }, + { + "type": "title", + "bbox": [ + 108, + 502, + 205, + 515 + ], + "lines": [ + { + "bbox": [ + 105, + 501, + 208, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 208, + 518 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 528, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 542 + ], + "score": 1.0, + "content": "While the hippocampus is known to play a critical role in encoding episodic memories, the storage", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 538, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 552 + ], + "score": 1.0, + "content": "of these memories might ultimately rest in the sensory areas of the neocortex (McClelland & Mc-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "Naughton, 1999). Indeed, a number of neurophysiological studies suggest that neurons throughout", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "score": 1.0, + "content": "the hierarchical visual cortex, including those in the early visual areas such as V1 and V2, might", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "be encoding memories of object images (Huang et al., 2018) and of visual sequences in cell assem-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "blies (Yao et al., 2007; Han et al., 2008; Xu et al., 2012; Cooke & Bear, 2014; 2015). 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In fact, learning to predict incoming visual signals has also been proposed as an objective that", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "drives representation learning in a recurrent neural network in a self-supervised learning paradigm,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 639, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 505, + 650 + ], + "score": 1.0, + "content": "where the discrepancy between the model’s prediction and the incoming signals can be used to train", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "the network using backpropagation, without the need of labeled data (Elman, 1990; Mathieu et al.,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 659, + 443, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 443, + 673 + ], + "score": 1.0, + "content": "2015; Villegas et al., 2017; Srivastava et al., 2015; O’Reilly et al., 2014; Lee, 2015).", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 676, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 505, + 688 + ], + "score": 1.0, + "content": "In computer vision, a number of hierarchical recurrent neural network models, notably PredNet", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 687, + 504, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 243, + 699 + ], + "score": 1.0, + "content": "(Lotter et al., 2016) and PredRNN", + "type": "text" + }, + { + "bbox": [ + 244, + 689, + 256, + 698 + ], + "score": 0.47, + "content": "^ { + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 687, + 504, + 699 + ], + "score": 1.0, + "content": "(Wang et al., 2018), have been developed for video prediction", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "with state-of-the-art performance. PredNet, in particular, was inspired by the neuroscience principle", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 708, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 506, + 724 + ], + "score": 1.0, + "content": "of predictive coding (Mumford, 1991; Rao & Ballard, 1999; Lee, 2015; Dijkstra et al., 2017; Friston,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "2018). It learns a LSTM (long short-term memory) model at each level to predict the prediction", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 45 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 303, + 752, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "1", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 80, + 503, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 79, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 506, + 101 + ], + "score": 1.0, + "content": "A MODEL CORTICAL NETWORK FOR SPATIOTEMPORAL", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 101, + 401, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 101, + 401, + 120 + ], + "score": 1.0, + "content": "SEQUENCE LEARNING AND PREDICTION", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 138, + 244, + 159 + ], + "lines": [ + { + "bbox": [ + 113, + 138, + 201, + 150 + ], + "spans": [ + { + "bbox": [ + 113, + 138, + 201, + 150 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 148, + 245, + 161 + ], + "spans": [ + { + "bbox": [ + 112, + 148, + 245, + 161 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 112, + 138, + 245, + 161 + ] + }, + { + "type": "title", + "bbox": [ + 278, + 189, + 333, + 201 + ], + "lines": [ + { + "bbox": [ + 276, + 189, + 335, + 202 + ], + "spans": [ + { + "bbox": [ + 276, + 189, + 335, + 202 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 215, + 468, + 478 + ], + "lines": [ + { + "bbox": [ + 141, + 215, + 469, + 227 + ], + "spans": [ + { + "bbox": [ + 141, + 215, + 469, + 227 + ], + "score": 1.0, + "content": "In this paper we developed a hierarchical network model, called Hierarchical Pre-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 226, + 469, + 238 + ], + "spans": [ + { + "bbox": [ + 141, + 226, + 469, + 238 + ], + "score": 1.0, + "content": "diction Network (HPNet) to understand how spatiotemporal memories might be", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 237, + 469, + 249 + ], + "spans": [ + { + "bbox": [ + 141, + 237, + 469, + 249 + ], + "score": 1.0, + "content": "learned and encoded in a representational hierarchy for predicting future video", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 248, + 470, + 261 + ], + "spans": [ + { + "bbox": [ + 141, + 248, + 470, + 261 + ], + "score": 1.0, + "content": "frames. The model is inspired by the feedforward, feedback and lateral recurrent", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 142, + 259, + 469, + 271 + ], + "spans": [ + { + "bbox": [ + 142, + 259, + 469, + 271 + ], + "score": 1.0, + "content": "circuits in the mammalian hierarchical visual system. It assumes that spatiotem-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 271, + 469, + 281 + ], + "spans": [ + { + "bbox": [ + 141, + 271, + 469, + 281 + ], + "score": 1.0, + "content": "poral memories are encoded in the recurrent connections within each level and", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 281, + 469, + 293 + ], + "spans": [ + { + "bbox": [ + 141, + 281, + 469, + 293 + ], + "score": 1.0, + "content": "between different levels of the hierarchy. The model contains a feed-forward path", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 142, + 292, + 469, + 304 + ], + "spans": [ + { + "bbox": [ + 142, + 292, + 469, + 304 + ], + "score": 1.0, + "content": "that computes and encodes spatiotemporal features of successive complexity and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 303, + 469, + 315 + ], + "spans": [ + { + "bbox": [ + 141, + 303, + 469, + 315 + ], + "score": 1.0, + "content": "a feedback path that projects interpretation from a higher level to the level be-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 313, + 469, + 325 + ], + "spans": [ + { + "bbox": [ + 141, + 313, + 469, + 325 + ], + "score": 1.0, + "content": "low. Within each level, the feed-forward path and the feedback path intersect in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 325, + 469, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 325, + 469, + 336 + ], + "score": 1.0, + "content": "a recurrent gated circuit that integrates their signals as well as the circuit’s inter-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 336, + 469, + 348 + ], + "spans": [ + { + "bbox": [ + 141, + 336, + 469, + 348 + ], + "score": 1.0, + "content": "nal memory states to generate a prediction of the incoming signals. The network", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 347, + 469, + 360 + ], + "spans": [ + { + "bbox": [ + 141, + 347, + 469, + 360 + ], + "score": 1.0, + "content": "learns by comparing the incoming signals with its prediction, updating its internal", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 358, + 469, + 370 + ], + "spans": [ + { + "bbox": [ + 141, + 358, + 469, + 370 + ], + "score": 1.0, + "content": "model of the world by minimizing the prediction errors at each level of the hierar-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 369, + 469, + 380 + ], + "spans": [ + { + "bbox": [ + 142, + 369, + 469, + 380 + ], + "score": 1.0, + "content": "chy in the style of predictive self-supervised learning. The network processes data", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 379, + 470, + 392 + ], + "spans": [ + { + "bbox": [ + 141, + 379, + 470, + 392 + ], + "score": 1.0, + "content": "in blocks of video frames rather than a frame-to-frame basis. This allows it to learn", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 390, + 470, + 403 + ], + "spans": [ + { + "bbox": [ + 141, + 390, + 470, + 403 + ], + "score": 1.0, + "content": "relationships among movement patterns, yielding state-of-the-art performance in", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 401, + 469, + 412 + ], + "spans": [ + { + "bbox": [ + 141, + 401, + 469, + 412 + ], + "score": 1.0, + "content": "long range video sequence predictions in benchmark datasets. 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PredNet, in particular, was inspired by the neuroscience principle", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 708, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 506, + 724 + ], + "score": 1.0, + "content": "of predictive coding (Mumford, 1991; Rao & Ballard, 1999; Lee, 2015; Dijkstra et al., 2017; Friston,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "2018). It learns a LSTM (long short-term memory) model at each level to predict the prediction", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "errors made in an earlier level of the hierarchical visual system. 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The lack of a compositional feature hierarchy", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 312, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 312, + 140 + ], + "score": 1.0, + "content": "hampers its ability in long range video predictions.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 263 + ], + "lines": [ + { + "bbox": [ + 105, + 144, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 506, + 156 + ], + "score": 1.0, + "content": "Here, we proposed an alternative hierarchical network architecture. 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We used a 3D convolutional LSTM at each level of the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "hierarchy to process these spatiotemporal blocks of signals (Choy et al., 2016), which is a key factor", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 313, + 391, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 391, + 327 + ], + "score": 1.0, + "content": "underlying HPNet’s better performance in long range video prediction.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 330, + 505, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 330, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 505, + 344 + ], + "score": 1.0, + "content": "In the paper, we will first demonstrate HPNet’s effectiveness in predictive learning and its compe-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "tency in long range video prediction. 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Our results sug-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 387 + ], + "score": 1.0, + "content": "gest that predictive self-supervised learning might indeed be an important strategy for representation", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "score": 1.0, + "content": "learning in the visual cortex, and that HPNet is a viable computational model for understanding the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 397, + 277, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 277, + 408 + ], + "score": 1.0, + "content": "computation in the visual cortical circuits.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24 + }, + { + "type": "title", + "bbox": [ + 108, + 428, + 214, + 441 + ], + "lines": [ + { + "bbox": [ + 105, + 427, + 217, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 217, + 443 + ], + "score": 1.0, + "content": "2 RELATED WORKS", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 505, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "Our objective is to develop a hierarchical cortical model for predictive learning of spatiotemporal", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "memories that is competitive both for video prediction, and for understanding the learning principles", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 479, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 490 + ], + "score": 1.0, + "content": "and the computational mechanisms of the hierarchical visual system. 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The two paths intersect at each level through a gated recurrent circuit", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 210 + ], + "score": 1.0, + "content": "to generate a hypothetical interpretation of the current state of the world and make a prediction", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "to explain the bottom-up input. 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We used a 3D convolutional LSTM at each level of the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "hierarchy to process these spatiotemporal blocks of signals (Choy et al., 2016), which is a key factor", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 313, + 391, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 391, + 327 + ], + "score": 1.0, + "content": "underlying HPNet’s better performance in long range video prediction.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 269, + 506, + 327 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 330, + 505, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 330, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 505, + 344 + ], + "score": 1.0, + "content": "In the paper, we will first demonstrate HPNet’s effectiveness in predictive learning and its compe-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "tency in long range video prediction. Then we will provide neurophysiological evidence showing", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 352, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 365 + ], + "score": 1.0, + "content": "that neurons in the early visual cortex of the primate visual system exhibit the same sensitivity to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 362, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 104, + 362, + 505, + 377 + ], + "score": 1.0, + "content": "memories of global movement patterns as units in the lowest modules of HPNet. Our results sug-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 387 + ], + "score": 1.0, + "content": "gest that predictive self-supervised learning might indeed be an important strategy for representation", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "score": 1.0, + "content": "learning in the visual cortex, and that HPNet is a viable computational model for understanding the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 397, + 277, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 277, + 408 + ], + "score": 1.0, + "content": "computation in the visual cortical circuits.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24, + "bbox_fs": [ + 104, + 330, + 505, + 408 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 428, + 214, + 441 + ], + "lines": [ + { + "bbox": [ + 105, + 427, + 217, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 217, + 443 + ], + "score": 1.0, + "content": "2 RELATED WORKS", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 505, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "Our objective is to develop a hierarchical cortical model for predictive learning of spatiotemporal", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "memories that is competitive both for video prediction, and for understanding the learning principles", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 479, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 490 + ], + "score": 1.0, + "content": "and the computational mechanisms of the hierarchical visual system. 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Our convolution kernel is in three dimension, processing the video by", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "spatiotemporal blocks. The block could slide in time with a temporal stride of one frame or a stride", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 241, + 678 + ], + "score": 1.0, + "content": "as large as the length of the block", + "type": "text" + }, + { + "bbox": [ + 241, + 666, + 247, + 676 + ], + "score": 0.68, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 666, + 505, + 678 + ], + "score": 1.0, + "content": ". The LSTM is a 3D convolutional LSTM (Choy et al., 2016) be-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "cause of 3D convolution and spatiotemporal blocks. Convolution LSTM (Shi et al., 2015), in which", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "Hadamard product in LSTM is replaced by a convolution, has greatly improved the performance of", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "LSTM in many applications. Earlier video prediction models (e.g. PredNet, PredRNN) processed", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "video sequences frame by frame, as shown in Figure 1 (d). We experimented with different data", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "units and approaches. In the Frame-to-Frame (F-F) approach, an input frame is used to generate one", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "score": 1.0, + "content": "predicted future frame (Figure 1 (d)). In the Block-to-Frame (B-F) approach (Figure 1 (e)), a block", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "of input frames is used to generate one predicted future frame. This approach is time consuming,", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 507, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 507, + 118 + ], + "score": 1.0, + "content": "but provides more accurate near-range predictions. For longer-range predictions, we found using a", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 507, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 507, + 128 + ], + "score": 1.0, + "content": "spatiotemporal block to predict a spatiotemporal block, i.e. the Block-to-Block (B-B) approach (", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "Figure 1(f)), to be the most effective, because the LSTM learns the relationship between movement", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "segments in the sequences. The details of our algorithm of the 3D convolutional LSTM is specified", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 149, + 171, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 171, + 162 + ], + "score": 1.0, + "content": "in Appendix A.", + "type": "text", + "cross_page": true + } + ], + "index": 6 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 610, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 160 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 96 + ], + "score": 1.0, + "content": "predicted future frame (Figure 1 (d)). In the Block-to-Frame (B-F) approach (Figure 1 (e)), a block", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "of input frames is used to generate one predicted future frame. This approach is time consuming,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 507, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 507, + 118 + ], + "score": 1.0, + "content": "but provides more accurate near-range predictions. 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The details of our algorithm of the 3D convolutional LSTM is specified", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 149, + 171, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 171, + 162 + ], + "score": 1.0, + "content": "in Appendix A.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "title", + "bbox": [ + 108, + 173, + 269, + 184 + ], + "lines": [ + { + "bbox": [ + 105, + 172, + 271, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 271, + 186 + ], + "score": 1.0, + "content": "3.4 TRAINING AND LOSS FUNCTION", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 108, + 193, + 504, + 216 + ], + "lines": [ + { + "bbox": [ + 106, + 193, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 206 + ], + "score": 1.0, + "content": "The entire network is trained by minimizing a loss function which is the weighted sum of all the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 297, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 297, + 217 + ], + "score": 1.0, + "content": "prediction errors, with the following algorithm,", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 228, + 477, + 334 + ], + "lines": [ + { + "bbox": [ + 129, + 228, + 477, + 334 + ], + "spans": [ + { + "bbox": [ + 129, + 228, + 477, + 334 + ], + "score": 0.94, + "content": "\\begin{array} { r l } { I _ { l } ^ { k } = \\left\\{ \\begin{array} { l l } { M a x P o o l ( R e L U ( R _ { l - 1 } ^ { k } ) ) } & { l > 1 } \\\\ { x _ { t } } & { l = 1 } \\end{array} \\right. P _ { l } ^ { k } = \\left\\{ \\begin{array} { l l } { R e L U ( c o n v ( H _ { l } ^ { k } ) ) } & { l > 1 } \\\\ { S A T L ( R e L U ( c o n v ( H _ { l } ^ { k } ) ) ) } & { l = 1 } \\end{array} \\right. } \\\\ { \\Delta I _ { l } ^ { k } = I _ { l } ^ { k } - I _ { l } ^ { k - d } , } & { \\Delta E _ { l } ^ { k } = I _ { l } ^ { k } - P _ { l } ^ { k } } \\end{array}", + "type": "interline_equation", + "image_path": "1435546974e46b75d04806c66d5b313b2aa853ec7f54b995aff6943e0323ec4a.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 129, + 228, + 477, + 263.3333333333333 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 129, + 263.3333333333333, + 477, + 298.66666666666663 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 129, + 298.66666666666663, + 477, + 333.99999999999994 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 340, + 505, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 339, + 507, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 134, + 356 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 344, + 145, + 353 + ], + "score": 0.85, + "content": "x _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 339, + 242, + 356 + ], + "score": 1.0, + "content": "is the input sequence,", + "type": "text" + }, + { + "bbox": [ + 243, + 340, + 258, + 354 + ], + "score": 0.92, + "content": "H _ { l } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 339, + 362, + 356 + ], + "score": 1.0, + "content": "is the output of LSTM,", + "type": "text" + }, + { + "bbox": [ + 362, + 340, + 376, + 353 + ], + "score": 0.89, + "content": "P _ { l } ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 339, + 507, + 356 + ], + "score": 1.0, + "content": "is the prediction, SATLU is a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 351, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 104, + 351, + 333, + 366 + ], + "score": 1.0, + "content": "saturating non-linearity set at the maximum pixel value:", + "type": "text" + }, + { + "bbox": [ + 333, + 353, + 469, + 364 + ], + "score": 0.88, + "content": "\\mathrm { S A T L U } ( x ; p _ { m a x } ) { : = \\operatorname* { m i n } ( p _ { m a x } , x ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 351, + 506, + 366 + ], + "score": 1.0, + "content": ", spconv", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 362, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 104, + 362, + 195, + 376 + ], + "score": 1.0, + "content": "is sparse convolution,", + "type": "text" + }, + { + "bbox": [ + 195, + 364, + 207, + 375 + ], + "score": 0.9, + "content": "\\lambda _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 362, + 225, + 376 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 364, + 235, + 375 + ], + "score": 0.87, + "content": "\\lambda _ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 362, + 484, + 376 + ], + "score": 1.0, + "content": "are weighting factors by time and CM level, respectively, and", + "type": "text" + }, + { + "bbox": [ + 484, + 365, + 495, + 375 + ], + "score": 0.84, + "content": "n _ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 362, + 505, + 376 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 282, + 388 + ], + "score": 1.0, + "content": "the number of units in the lth CM level, and", + "type": "text" + }, + { + "bbox": [ + 282, + 375, + 289, + 384 + ], + "score": 0.81, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "is the number of frames in each spatiotemporal block.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 385, + 284, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 284, + 398 + ], + "score": 1.0, + "content": "The full algorithm is shown in Algorithm 1.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 108, + 412, + 257, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 411, + 258, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 258, + 427 + ], + "score": 1.0, + "content": "4 EXPERIMENTAL RESULTS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 438, + 504, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 504, + 450 + ], + "score": 1.0, + "content": "In this section, we first evaluate the performance of our model in video prediction using two bench-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 448, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 435, + 460 + ], + "score": 1.0, + "content": "mark datasets: (1) synthetic sequences of the Moving-MNIST database and (2) the", + "type": "text" + }, + { + "bbox": [ + 435, + 448, + 461, + 459 + ], + "score": 0.75, + "content": "\\mathrm { K T \\check { H } ^ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 448, + 505, + 460 + ], + "score": 1.0, + "content": "real world", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "human movement database. We then investigate the representations in the model to understand how", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 104, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "recurrent network structures have impacted on the feedforward representation. We finally compare", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "the temporal activities of neurons in the network model with that of neurons in the visual cortex of", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 493, + 409, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 409, + 505 + ], + "score": 1.0, + "content": "monkeys, in video sequence learning, to evaluate the plausibility of HPNet.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 505, + 609 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 415, + 522 + ], + "score": 1.0, + "content": "Since for video prediction, PredNet is the most neurally plausible model and", + "type": "text" + }, + { + "bbox": [ + 415, + 510, + 468, + 520 + ], + "score": 0.27, + "content": "\\mathrm { P r e d R N N + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "provides", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "state-of-the-art computer vision performance, we will compare HPNet’s performance with these", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 532, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 505, + 543 + ], + "score": 1.0, + "content": "two network models. Because these two models work on frame-to-frame basis, we implemented", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 543, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 505, + 555 + ], + "score": 1.0, + "content": "three versions of our network for comparison: (1) Frame-to-Frame (F-F), where we set our data", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "score": 1.0, + "content": "spatiotemporal block size to one frame and used 2D convLSTM instead of 3D convLSTM to predict", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "the next frame based on the current frame; (2) Block-to-Frame (B-F), where we used a sliding block", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "window to predict the next frame based on the current block of frames; (3) Block-to-Block (B-B),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 585, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 600 + ], + "score": 1.0, + "content": "where the next spatiotemporal block was predicted from the current spatiotemporal block (Figure 1", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 597, + 127, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 127, + 610 + ], + "score": 1.0, + "content": "(d)).", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 106, + 614, + 505, + 713 + ], + "lines": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "score": 1.0, + "content": "We trained all five networks using 40-frame sequences extracted from the two databases in the same", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 625, + 506, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 625, + 506, + 638 + ], + "score": 1.0, + "content": "way as described in (Lotter et al., 2016; Wang et al., 2018). We then compared their performance", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "score": 1.0, + "content": "in predicting the next 20 frames when only the first 20 frames were given. The test sequences", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "were drawn from the same dataset but not in the training set. 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p _ { m a x } ) { : = \\operatorname* { m i n } ( p _ { m a x } , x ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 351, + 506, + 366 + ], + "score": 1.0, + "content": ", spconv", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 362, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 104, + 362, + 195, + 376 + ], + "score": 1.0, + "content": "is sparse convolution,", + "type": "text" + }, + { + "bbox": [ + 195, + 364, + 207, + 375 + ], + "score": 0.9, + "content": "\\lambda _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 362, + 225, + 376 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 364, + 235, + 375 + ], + "score": 0.87, + "content": "\\lambda _ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 362, + 484, + 376 + ], + "score": 1.0, + "content": "are weighting factors by time and CM level, respectively, and", + "type": "text" + }, + { + "bbox": [ + 484, + 365, + 495, + 375 + ], + "score": 0.84, + "content": "n _ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 362, + 505, + 376 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 282, + 388 + ], + "score": 1.0, + "content": "the number of units in the lth CM level, and", + "type": "text" + }, + { + "bbox": [ + 282, + 375, + 289, + 384 + ], + "score": 0.81, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "is the number of frames in each spatiotemporal block.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 385, + 284, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 284, + 398 + ], + "score": 1.0, + "content": "The full algorithm is shown in Algorithm 1.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15, + "bbox_fs": [ + 104, + 339, + 507, + 398 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 412, + 257, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 411, + 258, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 258, + 427 + ], + "score": 1.0, + "content": "4 EXPERIMENTAL RESULTS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 438, + 504, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 504, + 450 + ], + "score": 1.0, + "content": "In this section, we first evaluate the performance of our model in video prediction using two bench-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 448, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 435, + 460 + ], + "score": 1.0, + "content": "mark datasets: (1) synthetic sequences of the Moving-MNIST database and (2) the", + "type": "text" + }, + { + "bbox": [ + 435, + 448, + 461, + 459 + ], + "score": 0.75, + "content": "\\mathrm { K T \\check { H } ^ { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 448, + 505, + 460 + ], + "score": 1.0, + "content": "real world", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "human movement database. 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Because these two models work on frame-to-frame basis, we implemented", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 543, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 505, + 555 + ], + "score": 1.0, + "content": "three versions of our network for comparison: (1) Frame-to-Frame (F-F), where we set our data", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "score": 1.0, + "content": "spatiotemporal block size to one frame and used 2D convLSTM instead of 3D convLSTM to predict", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "the next frame based on the current frame; (2) Block-to-Frame (B-F), where we used a sliding block", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "window to predict the next frame based on the current block of frames; (3) Block-to-Block (B-B),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 585, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 600 + ], + "score": 1.0, + "content": "where the next spatiotemporal block was predicted from the current spatiotemporal block (Figure 1", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 597, + 127, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 127, + 610 + ], + "score": 1.0, + "content": "(d)).", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 510, + 506, + 610 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 614, + 505, + 713 + ], + "lines": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "score": 1.0, + "content": "We trained all five networks using 40-frame sequences extracted from the two databases in the same", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 625, + 506, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 625, + 506, + 638 + ], + "score": 1.0, + "content": "way as described in (Lotter et al., 2016; Wang et al., 2018). We then compared their performance", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "score": 1.0, + "content": "in predicting the next 20 frames when only the first 20 frames were given. The test sequences", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "were drawn from the same dataset but not in the training set. The common practice in PreNet and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 107, + 657, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 107, + 658, + 159, + 668 + ], + "score": 0.29, + "content": "\\mathrm { P r e d R N N + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 657, + 506, + 672 + ], + "score": 1.0, + "content": "for predicting future frames when input is no longer available is to make the prediction", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 668, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 506, + 681 + ], + "score": 1.0, + "content": "of the last time step the next input and use that to generate prediction of the next time step. All", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 680, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 505, + 691 + ], + "score": 1.0, + "content": "models tested have four modules (layers). 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This extraction process is repeated 15000 times,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 490, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 506, + 503 + ], + "score": 1.0, + "content": "resulting in a training set of 10000 sequences, a validation set of 2000 sequences, and a testing set", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 500, + 185, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 185, + 515 + ], + "score": 1.0, + "content": "of 3000 sequences.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 445, + 506, + 515 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 518, + 505, + 628 + ], + "lines": [ + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "score": 1.0, + "content": "Figure 2 and Table 1 compare the results of different models on the Moving-MNIST dataset. There", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 529, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 506, + 542 + ], + "score": 1.0, + "content": "are 40 frames in total and we show the results every two frames. The yellow vertical line in the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 541, + 504, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 504, + 552 + ], + "score": 1.0, + "content": "middle represents the border between the first 20 and the last 20 predicted frames by various models.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "We can see B-F achieves better performance than B-B in short term prediction task when actual input", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 561, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 576 + ], + "score": 1.0, + "content": "frames are provided, but B-B outperforms B-F in the longer range prediction, reflecting learning of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "score": 1.0, + "content": "the relationships at the movement levels by the 3D convLSTM. B-F doing better than F-F confirmed", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 584, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 506, + 596 + ], + "score": 1.0, + "content": "that the spatiotemporal block data structure provides additional information for modeling movement", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 593, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 608 + ], + "score": 1.0, + "content": "tendency. Finally, we found that even F-F achieved better prediction results than PredNet, suggesting", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 606, + 504, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 504, + 618 + ], + "score": 1.0, + "content": "that a feature hierarchy might be more useful than a hierarchy of predicted errors. Finally, our B-B", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 330, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 314, + 629 + ], + "score": 1.0, + "content": "network outperformed the state-of-the-art PredRNN", + "type": "text" + }, + { + "bbox": [ + 315, + 618, + 326, + 627 + ], + "score": 0.43, + "content": "^ { + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 617, + 330, + 629 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 518, + 506, + 629 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 644, + 393, + 655 + ], + "lines": [ + { + "bbox": [ + 105, + 643, + 395, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 395, + 657 + ], + "score": 1.0, + "content": "4.2 REAL-WORLD SEQUENCE PREDICTION ON THE KTH DATASET", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 665, + 505, + 709 + ], + "lines": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "Schuldt et al. (2004) introduced the KTH video database which contains 2391 sequences of six ¨", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "human actions: walking, jogging, running, boxing, hand waving, and hand clapping, performed by", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 686, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 699 + ], + "score": 1.0, + "content": "25 subjects in four different scenarios. 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row are", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 229, + 505, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 505, + 242 + ], + "score": 1.0, + "content": "ground truth (GT), results from three different version of HPNet (block-to-block (B-B), block-to-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 239, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 309, + 254 + ], + "score": 1.0, + "content": "frame (B-F), frame-to-frame (F-F)), PredNet, and", + "type": "text" + }, + { + "bbox": [ + 309, + 241, + 361, + 251 + ], + "score": 0.31, + "content": "\\mathrm { P r e d R N N + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 239, + 418, + 254 + ], + "score": 1.0, + "content": ", respectively.", + "type": "text" + }, + { + "bbox": [ + 418, + 241, + 436, + 251 + ], + "score": 0.79, + "content": "{ \\bf k } { = } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 239, + 447, + 254 + ], + 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MethodSSIMMSE
Ours(B-B)0.91565.2
Ours(B-F)0.79373.2
CM+ConvLSTM (F-F)0.69289.5
PredNet (Lotter et al., 2016)0.658101.2
PredRNN++ (Wang et al., 2018)0.87269.4
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MethodSSIMMSE
Ours(B-B)0.88280.3
Ours(B-F)0.78493.1
CM+ConvLSTM (F-F)0.701103.4
PredNet (Lotter et al., 2016)0.656108.9
PredRNN++ (Wang et al., 2018)0.86586.7
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MethodSSIMMSE
Ours(B-B)0.91565.2
Ours(B-F)0.79373.2
CM+ConvLSTM (F-F)0.69289.5
PredNet (Lotter et al., 2016)0.658101.2
PredRNN++ (Wang et al., 2018)0.87269.4
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MethodSSIMMSE
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Ours(B-F)0.78493.1
CM+ConvLSTM (F-F)0.701103.4
PredNet (Lotter et al., 2016)0.656108.9
PredRNN++ (Wang et al., 2018)0.86586.7
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Note, the training time", + "type": "text" + }, + { + "bbox": [ + 375, + 312, + 387, + 322 + ], + "score": 0.39, + "content": "\\mathbf { \\tau } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 311, + 489, + 324 + ], + "score": 1.0, + "content": "axis not in a linear scale.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12 + } + ], + "index": 10.0 + }, + { + "type": "text", + "bbox": [ + 107, + 335, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "To understand the importance of the hierarchical representation and recurrent feedback in the model,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "we trained the B-B network with different numbers of modules and then used t-SNE (van der Maaten", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 299, + 369 + ], + "score": 1.0, + "content": "& Hinton, 2008) to visualize the representation", + "type": "text" + }, + { + "bbox": [ + 299, + 357, + 308, + 367 + ], + "score": 0.8, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "in the different modules of the various networks", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 366, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 104, + 366, + 505, + 383 + ], + "score": 1.0, + "content": "in response to the last of the 20 future dead-reckoning frames of 600 testing sequences belonging", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 379, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 391 + ], + "score": 1.0, + "content": "to the six movements in the KTH dataset. 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Note, the training time", + "type": "text" + }, + { + "bbox": [ + 375, + 312, + 387, + 322 + ], + "score": 0.39, + "content": "\\mathbf { \\tau } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 311, + 489, + 324 + ], + "score": 1.0, + "content": "axis not in a linear scale.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12 + } + ], + "index": 10.0 + }, + { + "type": "text", + "bbox": [ + 107, + 335, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "To understand the importance of the hierarchical representation and recurrent feedback in the model,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "we trained the B-B network with different numbers of modules and then used t-SNE (van der Maaten", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 299, + 369 + ], + "score": 1.0, + "content": "& Hinton, 2008) to visualize the representation", + "type": "text" + }, + { + "bbox": [ + 299, + 357, + 308, + 367 + ], + "score": 0.8, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "in the different modules of the various networks", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 366, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 104, + 366, + 505, + 383 + ], + "score": 1.0, + "content": "in response to the last of the 20 future dead-reckoning frames of 600 testing sequences belonging", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 379, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 391 + ], + "score": 1.0, + "content": "to the six movements in the KTH dataset. 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We observed that", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "having more higher modules introduced cluster of global movement patterns in the representation", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "units even in the earliest module (Figure 5 (a) versus Figure 5 (e)), which resulted in significant", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "score": 1.0, + "content": "decoding accuracy improvement in the classification of the six classes of movement patterns, from", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 422, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 137, + 435 + ], + "score": 1.0, + "content": "chance", + "type": "text" + }, + { + "bbox": [ + 137, + 423, + 163, + 434 + ], + "score": 0.87, + "content": "( 1 6 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 422, + 174, + 435 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 175, + 423, + 194, + 433 + ], + "score": 0.89, + "content": "26 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 422, + 506, + 435 + ], + "score": 1.0, + "content": ", based on the unit activities in the first module alone. 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When we averaged the temporal responses of all", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "score": 1.0, + "content": "the neurons to each of the 20-movie sets, they should be roughly the same. In the first two days of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "the experiment, the clips in the Predicted set were still unpredicted, hence there should have been no", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "difference between the population averaged responses to the Predicted set and the Unpredicted set.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 423, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 506, + 436 + ], + "score": 1.0, + "content": "This was indeed the case as shown in Figure 6b (top row) which compared the averaged temporal", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "responses of the neurons to the Predicted set and to the Unpredicted set for the first two days of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 446, + 217, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 217, + 459 + ], + "score": 1.0, + "content": "training in one experiment.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 106, + 463, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 106, + 463, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 506, + 475 + ], + "score": 1.0, + "content": "Interestingly, we found that after only three days of unsupervised training, with 20-25 exposures of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "each familiar movie per day, the neurons started to respond significantly less to predicted movies", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 392, + 497 + ], + "score": 1.0, + "content": "than to novel movies in the later part of their responses, starting around", + "type": "text" + }, + { + "bbox": [ + 392, + 485, + 422, + 495 + ], + "score": 0.27, + "content": "1 0 0 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "post-stimulus onset,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "score": 1.0, + "content": "as shown in Figure 6(b) (bottom row). The evolution of daily mean of all neurons’ familiarity", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 507, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 518 + ], + "score": 1.0, + "content": "suppression index over days is shown as the magenta curve. As the neurons became more and more", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "score": 1.0, + "content": "familiar with the Predicted set, the prediction suppression effect gradually increased and saturated", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "at around the sixth and seventh days. We repeated the experiments six times in two monkeys and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 414, + 552 + ], + "score": 1.0, + "content": "obtained fairly consistent results. Note that the movie clips were shown in a", + "type": "text" + }, + { + "bbox": [ + 414, + 540, + 425, + 550 + ], + "score": 0.83, + "content": "8 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "aperture during the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "experiment. Given that the V1 and V2 neurons being studied have very local and small receptive", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 134, + 574 + ], + "score": 1.0, + "content": "fields", + "type": "text" + }, + { + "bbox": [ + 135, + 561, + 153, + 572 + ], + "score": 0.83, + "content": "0 . 5 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 561, + 165, + 574 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 166, + 562, + 177, + 572 + ], + "score": 0.68, + "content": "2 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "), it is rather improbable that the neurons would have remembered or adapted to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "the local movement patterns of the Predicted set within their receptive fields, as they would be", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "experiencing millions of such local spatiotemporal patterns in their daily experience. Indeed, when", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 357, + 606 + ], + "score": 1.0, + "content": "the video clips were shown to the neurons through a smaller", + "type": "text" + }, + { + "bbox": [ + 357, + 594, + 368, + 604 + ], + "score": 0.83, + "content": "3 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "diameter aperture, the prediction", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 104, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "suppression effects were much attenuated, suggesting that the neurons had indeed became sensitive", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 616, + 282, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 282, + 629 + ], + "score": 1.0, + "content": "to the global context of movement patterns!", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 633, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "score": 1.0, + "content": "To check whether neurons in our network behave in the same way, we performed a similar experi-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "score": 1.0, + "content": "ment on our network, pretrained with the KTH dataset. We randomly extracted 20 sequences from", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "the BAIR dataset (Ebert et al., 2017), resized the sequence length to 40 frames and each frame size", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 665, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 117, + 679 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 666, + 146, + 676 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 665, + 505, + 679 + ], + "score": 1.0, + "content": ". We separated the 20 video sequences into two sets – the Predicted set and the Unpre-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "dicted set. 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Before training, the responses of each type of neurons are", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "indeed the same for both movie sets (not shown, but similar to Figure 6(b) data). Then, we trained", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "the network with the Predicted set for 2000 epochs. After training, all three types of units in each", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "40 movie clips tested every day, twenty of these were the same each day, designated as “Predicted", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 105 + ], + "score": 1.0, + "content": "set”. Twenty of them were different each day, designated as “Unpredicted set”. Each set consisted", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 163, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 163, + 116 + ], + "score": 1.0, + "content": "of 20 movies.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1, + "bbox_fs": [ + 105, + 82, + 505, + 116 + ] + }, + { + "type": "image", + "bbox": [ + 166, + 131, + 442, + 274 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 166, + 131, + 442, + 274 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 166, + 131, + 442, + 274 + ], + "spans": [ + { + "bbox": [ + 166, + 131, + 442, + 274 + ], + "score": 0.975, + "type": "image", + "image_path": "9519100cf2967e267437c1c3a9cb4b017da0545800c0379da636e5fcacda3850.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 166, + 131, + 442, + 178.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 166, + 178.66666666666666, + 442, + 226.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 166, + 226.33333333333331, + 442, + 274.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 283, + 505, + 328 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 283, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 505, + 296 + ], + "score": 1.0, + "content": "Figure 5: (a)-(d) are the top CM’s R representation of networks with different number of modules,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "from one to four; (e)-(h) are the representation of each modules in a four-modules network, from", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 306, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 318 + ], + "score": 1.0, + "content": "the first module to the fourth, left to right. Better clustering leads to better decoding results of the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 316, + 345, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 345, + 329 + ], + "score": 1.0, + "content": "different movement classes. Full details are in Appendix B.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5 + } + ], + "index": 5.75 + }, + { + "type": "text", + "bbox": [ + 107, + 347, + 505, + 457 + ], + "lines": [ + { + "bbox": [ + 106, + 347, + 505, + 359 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 487, + 359 + ], + "score": 1.0, + "content": "The rationale for the experimental design is as follows. Given that we were recording from", + "type": "text" + }, + { + "bbox": [ + 487, + 347, + 505, + 358 + ], + "score": 0.81, + "content": "3 0 +", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "score": 1.0, + "content": "neurons in each session, even though the neurons have different stimulus preferences in their local", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "receptive fields, each neuron would experience about 400 movie frames for the Predicted movie set,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "as well as for each of the Unpredicted movie sets. When we averaged the temporal responses of all", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "score": 1.0, + "content": "the neurons to each of the 20-movie sets, they should be roughly the same. In the first two days of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "the experiment, the clips in the Predicted set were still unpredicted, hence there should have been no", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "difference between the population averaged responses to the Predicted set and the Unpredicted set.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 423, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 506, + 436 + ], + "score": 1.0, + "content": "This was indeed the case as shown in Figure 6b (top row) which compared the averaged temporal", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "responses of the neurons to the Predicted set and to the Unpredicted set for the first two days of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 446, + 217, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 217, + 459 + ], + "score": 1.0, + "content": "training in one experiment.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 347, + 506, + 459 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 463, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 106, + 463, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 506, + 475 + ], + "score": 1.0, + "content": "Interestingly, we found that after only three days of unsupervised training, with 20-25 exposures of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "each familiar movie per day, the neurons started to respond significantly less to predicted movies", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 392, + 497 + ], + "score": 1.0, + "content": "than to novel movies in the later part of their responses, starting around", + "type": "text" + }, + { + "bbox": [ + 392, + 485, + 422, + 495 + ], + "score": 0.27, + "content": "1 0 0 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "post-stimulus onset,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 504, + 508 + ], + "score": 1.0, + "content": "as shown in Figure 6(b) (bottom row). The evolution of daily mean of all neurons’ familiarity", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 507, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 518 + ], + "score": 1.0, + "content": "suppression index over days is shown as the magenta curve. As the neurons became more and more", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "score": 1.0, + "content": "familiar with the Predicted set, the prediction suppression effect gradually increased and saturated", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "at around the sixth and seventh days. We repeated the experiments six times in two monkeys and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 414, + 552 + ], + "score": 1.0, + "content": "obtained fairly consistent results. Note that the movie clips were shown in a", + "type": "text" + }, + { + "bbox": [ + 414, + 540, + 425, + 550 + ], + "score": 0.83, + "content": "8 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "aperture during the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 506, + 563 + ], + "score": 1.0, + "content": "experiment. Given that the V1 and V2 neurons being studied have very local and small receptive", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 134, + 574 + ], + "score": 1.0, + "content": "fields", + "type": "text" + }, + { + "bbox": [ + 135, + 561, + 153, + 572 + ], + "score": 0.83, + "content": "0 . 5 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 561, + 165, + 574 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 166, + 562, + 177, + 572 + ], + "score": 0.68, + "content": "2 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "), it is rather improbable that the neurons would have remembered or adapted to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "the local movement patterns of the Predicted set within their receptive fields, as they would be", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "experiencing millions of such local spatiotemporal patterns in their daily experience. Indeed, when", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 357, + 606 + ], + "score": 1.0, + "content": "the video clips were shown to the neurons through a smaller", + "type": "text" + }, + { + "bbox": [ + 357, + 594, + 368, + 604 + ], + "score": 0.83, + "content": "3 ^ { o }", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "diameter aperture, the prediction", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 104, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "suppression effects were much attenuated, suggesting that the neurons had indeed became sensitive", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 616, + 282, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 282, + 629 + ], + "score": 1.0, + "content": "to the global context of movement patterns!", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 463, + 506, + 629 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 633, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "score": 1.0, + "content": "To check whether neurons in our network behave in the same way, we performed a similar experi-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "score": 1.0, + "content": "ment on our network, pretrained with the KTH dataset. We randomly extracted 20 sequences from", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "the BAIR dataset (Ebert et al., 2017), resized the sequence length to 40 frames and each frame size", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 665, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 117, + 679 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 666, + 146, + 676 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 665, + 505, + 679 + ], + "score": 1.0, + "content": ". We separated the 20 video sequences into two sets – the Predicted set and the Unpre-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "dicted set. We averaged the responses to the two movie sets respectively of each type of neurons in", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 160, + 700 + ], + "score": 1.0, + "content": "the network", + "type": "text" + }, + { + "bbox": [ + 161, + 688, + 170, + 698 + ], + "score": 0.68, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 687, + 268, + 700 + ], + "score": 1.0, + "content": "(prediction error units),", + "type": "text" + }, + { + "bbox": [ + 268, + 688, + 278, + 698 + ], + "score": 0.78, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 687, + 371, + 700 + ], + "score": 1.0, + "content": "(prediction units), and", + "type": "text" + }, + { + "bbox": [ + 371, + 688, + 380, + 698 + ], + "score": 0.76, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "(representation units)) in each", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 193, + 712 + ], + "score": 1.0, + "content": "CM within the center", + "type": "text" + }, + { + "bbox": [ + 193, + 699, + 212, + 709 + ], + "score": 0.87, + "content": "8 \\times 8", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "hypercolumns. Before training, the responses of each type of neurons are", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "indeed the same for both movie sets (not shown, but similar to Figure 6(b) data). Then, we trained", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "the network with the Predicted set for 2000 epochs. After training, all three types of units in each", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 632, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 504, + 106 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "CM exhibited the prediction suppression effect as shown in Figure 6 (c)-(h) (full details in Appendix", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 92, + 123, + 108 + ], + "spans": [ + { + "bbox": [ + 104, + 92, + 123, + 108 + ], + "score": 1.0, + "content": "C).", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "image", + "bbox": [ + 108, + 117, + 504, + 251 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 117, + 504, + 251 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 117, + 504, + 251 + ], + "spans": [ + { + "bbox": [ + 108, + 117, + 504, + 251 + ], + "score": 0.974, + "type": "image", + "image_path": "e5f66d7a3e15ecbee2b1ef73fd797ecbddf19d736dba1d6e32d12e9a48d2243b.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 108, + 117, + 504, + 161.66666666666666 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 108, + 161.66666666666666, + 504, + 206.33333333333331 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 108, + 206.33333333333331, + 504, + 250.99999999999997 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 261, + 505, + 371 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 261, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 505, + 273 + ], + "score": 1.0, + "content": "Figure 6: (a) The development of the prediction suppression effect across days in one experiment.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 272, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 506, + 285 + ], + "score": 1.0, + "content": "Each dot is the prediction suppression index of a neuron. Color indicates whether the effect was", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 106, + 283, + 505, + 296 + ], + "score": 1.0, + "content": "significant or not (red - significant, blue - insignificant, green - significant in the opposite way)", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 293, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 187, + 307 + ], + "score": 1.0, + "content": "based on t-test with", + "type": "text" + }, + { + "bbox": [ + 187, + 294, + 225, + 306 + ], + "score": 0.9, + "content": "p < 0 . 0 5", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 293, + 505, + 307 + ], + "score": 1.0, + "content": "as statistical significance threshold. (b) Averaged temporal responses", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 305, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 505, + 318 + ], + "score": 1.0, + "content": "of the V1 and V2 neurons (combined) of one monkey to Predicted set and the Unpredicted sets in the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "score": 1.0, + "content": "first two days (top row), showing no difference. The averaged responses (combining data from day", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 325, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 104, + 325, + 506, + 340 + ], + "score": 1.0, + "content": "5 to day 12) to the Predicted set was significantly weaker than the responses to the Unpredicted sets,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 337, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 352 + ], + "score": 1.0, + "content": "indicating prediction suppression. (c)-(e) Module 1’s normalized averaged population responses of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 349, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 506, + 362 + ], + "score": 1.0, + "content": "the three types of units to the Predicted set and the Unpredicted set. (f)-(h) Module 4’s normalized", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 360, + 337, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 337, + 372 + ], + "score": 1.0, + "content": "averaged population responses of the three types of units.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9.5 + } + ], + "index": 6.25 + }, + { + "type": "text", + "bbox": [ + 106, + 392, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 106, + 392, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 505, + 406 + ], + "score": 1.0, + "content": "We observed the prediction suppression effect in all three types of neurons in all the modules in the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "hierarchy, with the higher modules showing a stronger effect. It is not surprising that the prediction", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 415, + 504, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 162, + 426 + ], + "score": 1.0, + "content": "error neurons", + "type": "text" + }, + { + "bbox": [ + 162, + 415, + 172, + 425 + ], + "score": 0.81, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 416, + 504, + 426 + ], + "score": 1.0, + "content": "would decrease their responses as the network learns to predict the familiar movies", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 426, + 504, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 370, + 438 + ], + "score": 1.0, + "content": "better. It is rather interesting to find the representation neurons", + "type": "text" + }, + { + "bbox": [ + 371, + 426, + 380, + 436 + ], + "score": 0.8, + "content": "R", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 426, + 495, + 438 + ], + "score": 1.0, + "content": "and the prediction neurons", + "type": "text" + }, + { + "bbox": [ + 495, + 426, + 504, + 435 + ], + "score": 0.81, + "content": "P", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 436, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 505, + 450 + ], + "score": 1.0, + "content": "also exhibit prediction suppression, even though these neurons represent features rather than pre-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 447, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 460 + ], + "score": 1.0, + "content": "diction errors. The precise reasons remain to be determined, but the fact that all neuron types in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 458, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 505, + 471 + ], + "score": 1.0, + "content": "the model exhibited the prediction suppression effect might explain why the prediction suppression", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 468, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 483 + ], + "score": 1.0, + "content": "effects were commonly observed in most of the randomly sampled neurons in the visual cortex (see", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 480, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 493 + ], + "score": 1.0, + "content": "Figure 6a). These findings suggest that (1) predictive self-supervised learning might indeed be an", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "important principle and mechanism by which the visual cortex learns its representations, and (2) the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 502, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 515 + ], + "score": 1.0, + "content": "neurophysiological observations on prediction suppression in IT (see Appendix D) and now in the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 514, + 439, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 439, + 525 + ], + "score": 1.0, + "content": "early visual cortex might be explained by this class of hierarchical cortical models.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 108, + 541, + 195, + 554 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 197, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 197, + 557 + ], + "score": 1.0, + "content": "5 CONCLUSION", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 567, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 567, + 504, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 504, + 579 + ], + "score": 1.0, + "content": "In this paper, we developed a hierarchical prediction network model (HPNet), with a fast DCNN", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "feedforward path, a feedback path and local recurrent LSTM circuits for modeling the counter-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 589, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 506, + 601 + ], + "score": 1.0, + "content": "stream / analysis-by-synthesis architecture of the mammalian hierarchical visual systems. HPNet", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 391, + 613 + ], + "score": 1.0, + "content": "utilizes predictive self-supervised learning as in PredNet and PredRNN", + "type": "text" + }, + { + "bbox": [ + 391, + 601, + 403, + 610 + ], + "score": 0.39, + "content": "^ { + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 600, + 505, + 613 + ], + "score": 1.0, + "content": ", but integrates additional", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "score": 1.0, + "content": "neural constraints or theoretical neuroscience ideas on spatiotemporal processing, counter-stream", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 622, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 635 + ], + "score": 1.0, + "content": "architecture, feature hierarchy, prediction evaluation and sparse convolution into a new model that", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "delivers the state-of-the-art performance in long range video prediction. Most importantly, we found", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "that the hierarchical interaction in HPNet introduces sensitivity to global movement patterns in the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 104, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "representational units of the earliest module in the network and that real cortical neurons in the early", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "visual cortex of awake monkeys exhibit very similar sensitivity to memories of global movement", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "patterns, despite their very local receptive fields. 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(f)-(h) Module 4’s normalized", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 360, + 337, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 337, + 372 + ], + "score": 1.0, + "content": "averaged population responses of the three types of units.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9.5 + } + ], + "index": 6.25 + }, + { + "type": "text", + "bbox": [ + 106, + 392, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 106, + 392, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 505, + 406 + ], + "score": 1.0, + "content": "We observed the prediction suppression effect in all three types of neurons in all the modules in the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "hierarchy, with the higher modules showing a stronger effect. It is not surprising that the prediction", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 415, + 504, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 162, + 426 + ], + "score": 1.0, + "content": "error neurons", + "type": "text" + }, + { + "bbox": [ + 162, + 415, + 172, + 425 + ], + "score": 0.81, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 416, + 504, + 426 + ], + "score": 1.0, + "content": "would decrease their responses as the network learns to predict the familiar movies", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 426, + 504, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 370, + 438 + ], + "score": 1.0, + "content": "better. 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These findings suggest that (1) predictive self-supervised learning might indeed be an", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "important principle and mechanism by which the visual cortex learns its representations, and (2) the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 502, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 515 + ], + "score": 1.0, + "content": "neurophysiological observations on prediction suppression in IT (see Appendix D) and now in the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 514, + 439, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 439, + 525 + ], + "score": 1.0, + "content": "early visual cortex might be explained by this class of hierarchical cortical models.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 392, + 506, + 525 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 541, + 195, + 554 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 197, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 197, + 557 + ], + "score": 1.0, + "content": "5 CONCLUSION", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 567, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 567, + 504, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 504, + 579 + ], + "score": 1.0, + "content": "In this paper, we developed a hierarchical prediction network model (HPNet), with a fast DCNN", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "feedforward path, a feedback path and local recurrent LSTM circuits for modeling the counter-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 589, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 506, + 601 + ], + "score": 1.0, + "content": "stream / analysis-by-synthesis architecture of the mammalian hierarchical visual systems. 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Further evaluations are needed to determine definitively", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 365, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 365, + 733 + ], + "score": 1.0, + "content": "whether PredNet or HPNet is a better fit to the biological reality.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 35, + "bbox_fs": [ + 104, + 567, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 81, + 176, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 176, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 176, + 95 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 100, + 503, + 123 + ], + "lines": [ + { + "bbox": [ + 105, + 99, + 504, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 504, + 113 + ], + "score": 1.0, + "content": "Mohammad Babaeizadeh, Chelsea Finn, Dumitru Erhan, Roy H. 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Mean decoding accuracy0.160.190.210.26
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Representation inLayer 1Layer 2Layer 3Layer 4
Mean decoding accuracy0.180.230.180.16
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Representation inLayer 1Layer 2Layer 3Layer 4
Mean decoding accuracy0.160.110.100.10
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Representation inModule 1-1Module 2-1Module 3-1Module 4-1
Mean decoding accuracy0.160.190.210.26
Representation inModule 4-1Module 4-2Module 4-3Module 4-4
Mean decoding accuracy0.260.450.570.63
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Representation inLayer 1Layer 2Layer 3Layer 4
Mean decoding accuracy0.180.230.180.16
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After training, the images when arranged in the trained order responded", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "much less after the initial responses than the same images but arranged in unpredicted pairs. The", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "result shown in Figure 10 duplicated the observations in Meyer & Olson (2011), the average neural", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 156, + 690 + ], + "score": 1.0, + "content": "response of", + "type": "text" + }, + { + "bbox": [ + 156, + 677, + 165, + 687 + ], + "score": 0.8, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "unit is lower than the unpredicted pairs. All three types of units of NPNet exhibit", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "prediction suppression though the effect is much weaker for the R units (see Figure 11. Lotter et al.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "(2018) also tested the prediction suppression effect, but their model couldn’t allow any gap between", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 708, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 506, + 724 + ], + "score": 1.0, + "content": "the stimuli as in the experiment. 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Input:Ik←xt
1:for t=1 to Tdo
2: for l=L to 1 do Top-down procedure
3: if l=L then
4: H = 3DconvLSTM(Hk-d,Ek-d,MaxPool(ReLU(Ri-1,El-1)))
5: else
6: Hl = 3DconvLSTM(Hk-d,Ek-d,MaxPool(ReLU(Ri-1,Ek-1)),upsample(Hi+1))
7: end if
8: end for
9: for l=1 to L do Bottom-up procedure
10: ifl=1 then
1k = xt, Pk = SATLU(ReLU(conv(H))) 11:
12: else
13: I= MaxPool(ReLU(Ri-1)),Pk = ReLU(conv(Hl)
14: end if
15: △Ik=I-Ik-d,△R = spconv(△Ik²),R² =Rk-d +△R
16: △E=Ik-Pk,E=spconu(△E)
17: end for
18: end for
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Ours(B-F)0.79373.2
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MethodSSIMMSE
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Ours(B-F)0.78493.1
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-0,0 +1,509 @@ +# Distributional Generalization: Characterizing Classifiers Beyond Test Error + +Anonymous Author(s) +Affiliation +Address +email + +# Abstract + +1 We present a new set of empirical properties of interpolating classifiers, includ +2 ing neural networks, kernel machines and decision trees. Informally, the output +3 distribution of an interpolating classifier matches the distribution of true labels, +4 when conditioned on certain subgroups of the input space. For example, if we +5 mislabel $30 \%$ of dogs as cats in the train set of CIFAR-10, then a ResNet trained +6 to interpolation will in fact mislabel roughly $30 \%$ of dogs as cats on the test set +7 as well, while leaving other classes unaffected. These behaviors are not captured +8 by classical generalization, which would only consider the average error over +9 the inputs, and not where these errors occur. We introduce and experimentally +10 validate a formal conjecture that specifies the subgroups for which we expect this +11 distributional closeness. Further, we show that these properties can be seen as a +12 new form of generalization, which advances our understanding of the implicit bias +13 of interpolating methods. + +# 14 1 Introduction + +15 In learning theory, when we study how well a classifier “generalizes”, we usually consider a single +16 metric – its test error $\mathbb { \left. \boldsymbol { \mathsf { E 9 } } \right. }$ . However, there could be many different classifiers with the same test error +17 that differ substantially in, say, the subgroups of inputs on which they make errors or in the features +18 they use to attain this performance. Reducing classifiers to a single number misses these rich aspects +19 of their behavior. In this work, we propose formally studying the entire joint distribution of classifier +20 inputs and outputs. That is, the distribution $( x , f ( { \overset { \cdot } { x } } ) )$ for samples from the distribution $x \sim D$ for a +21 classifier $f ( x )$ . This distribution reveals many structural properties of the classifier beyond test error +22 (such as where the errors occur). In fact, we discover new behaviors of modern classifiers that can +23 only be understood in this framework. As an example, consider the following experiment (Figure 1). +24 Experiment 1. Consider a binary classification version of CIFAR-10, where CIFAR-10 images $x$ +25 have binary labels Animal/Object. Take 50K samples from this distribution as a train set, but +26 apply the following label noise: flip the label of cats to Object with probability $30 \%$ . Now train +27 a WideResNet $f$ to 0 train error on this train set. How does the trained classifier behave on test +28 samples? Options below: + +29 (1) The test error is low across all classes, since there is only $3 \%$ overall label noise in the train set. + +30 (2) Test error is “spread” across the animal class. After all, the classifier is not explicitly told what a +31 cat or a dog is, just that they are all animals. +32 (3) The classifier misclassifies roughly $30 \%$ of test cats as “objects”, but all other animals are largely +33 unaffected. +34 The reality is closest to option (3) as shown in Figure $\mathbb { \underline { { \Pi } } }$ The left panel shows the joint density of +35 train inputs $x$ with train labels Object/Animal. Since the classifier is interpolating, the classifier +36 outputs on the train set are identical to the left panel. The right panel shows the classifier predictions +37 $f ( \bar { x } )$ on test inputs $x$ . +38 There are several notable things about this experiment. First, the error is localized to cats in the test +39 set as it was in the train set, even though no explicit cat labels were provided. The interpolating +40 model is thus sensitive to subgroup-structures in the distribution. Second, the amount of error on +41 the cat class is close to the noise applied on the train set. Thus, the behavior of the classifier on the +42 train set generalizes to the test set in a stronger sense than just average error. Specifically, when +43 conditioned on a subgroup (cat), the distribution of the true labels is close to that of the classifier +44 outputs. Third, this is not the behavior of the Bayes-optimal classifier, which would always output +45 the maximum-likelihood label instead of reproducing the noise in the distribution. The network +46 is thus behaving poorly from the perspective of Bayes-optimality, but behaving well in a certain +47 distributional sense (which we will formalize soon). +48 Now, consider a seemingly unrelated experimental observation. Take an AlexNet trained on ImageNet, +49 a 1000-way classification problem with 116 varieties of dogs. AlexNet only achieves $56 . 5 \%$ test +50 accuracy on ImageNet. However, it at least classifies most dogs as some variety of dog (with $9 8 . 4 \%$ +51 accuracy), though it may mistake the exact breed. In this work, we show that both of these experiments +52 are examples of the same underlying phenomenon. We empirically show that for an interpolating +53 classifier, its classification outputs are close in distribution to the true labels — even when conditioned +54 on many subsets of the domain. For example, in Figure 1, the distribution of $p ( f ( x ) | x = \mathrm { c a t } )$ is close +55 to the true label distribution of $p ( y | x = \mathrm { c a t } )$ . We propose a formal conjecture (Feature Calibration), +56 that predicts which subgroups of the domain can be conditioned on for the above distributional +57 closeness to hold. +58 These experimental behaviors could not have been captured solely by looking at average test error, +59 as is done in the classical theory of generalization. In fact, they are special cases of a new kind of +60 generalization, which we call “Distributional Generalization”. + +![](images/beb9208b2ea626ae58269efe27de7f9a751af1070e33cc6b87154a22c4bb5b6a.jpg) +Figure 1: The setup and result of Experiment 1. The CIFAR-10 train set is labeled as either Animals or Objects, with label noise affecting only cats. A WideResNet-28-10 is then trained to 0 train error on this train set, and evaluated on the test set. Full experimental details in Appendix C.2 + +# 61 1.1 Distributional Generalization + +62 Informally, Distributional Generalization states that the outputs of classifiers $f$ on their train sets 63 and test sets are close as distributions (as opposed to close in just error). That is, the following joint distributions1 64 are close: + +$$ +( x , f ( x ) ) _ { x \sim \mathrm { T e s t S e t } } \approx ( x , f ( x ) ) _ { x \sim \mathrm { T r a i n S e t } } +$$ + +65 The remainder of this paper is devoted to making the above statement precise, and empirically +66 checking its validity on real-world tasks. Specifically, we want to formally define the notion of +67 approximation $( \approx )$ , and understand how it depends on the problem parameters (the type of classifier, +68 number of train samples, etc). We focus primarily on interpolating methods, where we formalize +69 Equation $( 1 )$ through our Feature Calibration Conjecture. + +# 70 1.2 Our Contributions and Organization + +71 In this work, we discover new empirical properties of interpolating classifiers, which are not captured +72 in the classical framework of generalization. We then propose formal conjectures to characterize +73 these behaviors. + +• In Section $\textcircled { 3 }$ we introduce a formal “Feature Calibration” conjecture, which unifies our experimental observations. Roughly, Feature Calibration says that the outputs of classifiers match the statistics of their training distribution when conditioned on certain subgroups. +• In Section $\textcircled { 4 }$ we experimentally stress test our Feature Calibration conjecture across various settings in machine learning, including neural networks, kernel machines, and decision trees. This highlights the universality of our results across machine learning. +• In Section $5 ,$ we relate our results to classical generalization, by defining a new notion of Distributional Generalization which subsumes both classical generalization and our new conjectures. +• Finally, in Section $5 . 2$ we informally discuss how Distributional Generalization can be applied even for non-interpolating methods. + +Our results, thus, extend our understanding of the implicit bias of interpolating methods, and introduce a new type of generalization exhibited across many methods in machine learning. + +# 1.3 Related Work and Significance + +Our work has connections to, and implications for many existing research programs in deep learning. + +Implicit Bias and Overparameterization. There has been a long line of recent work towards understanding overparameterized and interpolating methods, since these pose challenges for classical theories of generalization (e.g. Belkin et al. [8, 9, 10], Breiman [11], Gunasekar et al. $\mathbb { \left[ \left. 2 5 \right] \right. }$ , Liang and Rakhlin $\boxed { \ B 6 }$ , Nakkiran et al. $\mathbb { \lVert \boldsymbol { 4 3 } \rVert }$ , Schapire et al. [58], Soudry et al. [62], Zhang et al. $\pmb { \mathbb { Z } 1 } \mathbf { l }$ ). The “implicit bias” program here aims to answer: Among all models with 0 train error, which model is actually produced by SGD? Most existing work seeks to characterize the exact implicit bias of models under certain (sometimes strong) assumptions on the model, training method or the data distribution. In contrast, our conjecture applies across many different interpolating models (from neural nets to decision trees) as they would be used in practice, and thus form a sort of “universal implicit bias” of these methods. Moreover, our results place constraints on potential future theories of implicit bias, and guide us towards theories that better capture practice. + +100 Benign Overfitting. Most prior works on interpolating classifiers attempt to explain why training +101 to interpolation “does not harm” the the model. This has been dubbed “benign overfitting” [7] and +102 “harmless interpolation” [40], reflecting the widely-held belief that interpolation does not harm the +103 decision boundary of classifiers. In contrast, we find that interpolation actually does “harm” classifiers, +104 in predictable ways: fitting the label noise on the train set causes similar noise to be reproduced at +105 test time. Our results thus indicate that interpolation can significantly affect the decision boundary of +106 classifiers, and should not be considered a purely “benign” effect. +107 Classical Generalization and Scaling Limits. Our framework of Distributional Generalization is +108 insightful even to study classical generalization, since it reveals much more about models than just +109 their test error. For example, statistical learning theory attempts to understand if and when models +110 will asymptotically converge to Bayes optimal classifiers, in the limit of large data (“asymptotic +111 consistency” [59, $\dot { 6 5 } \|$ ). In deep learning, there are at least two distinct ways to scale model and data +112 to infinity together: the underparameterized scaling limit, where data-size $\gg$ model-size always, and +113 the overparameterized scaling limit, where data-size $\ll$ model-size always. The underparameterized +114 scaling limit is well-understood: when data is essentially infinite, neural networks will converge to +115 the Bayes-optimal classifier (provided the model-size is large enough, and the optimization is run +116 for long enough, with enough noise to escape local minima). On the other hand, our work suggests +117 that in the overparameterized scaling limit, models will not converge to the Bayes-optimal classifier. +118 Specifically, our Feature Calibration Conjecture implies that in the limit of large data, interpolating +119 models will approach a sampler from the distribution. That is, the limiting model $f$ will be such that +120 the output $f ( x )$ is a sample from $p ( y | x )$ , as opposed to the Bayes-optimal $f ^ { * } ( x ) = \mathop { \mathrm { a r g m a x } } _ { y } p ( y | x )$ . +121 This claim— that overparameterized models do not converge to Bayes-optimal classifiers— is unique +122 to our work as far as we know, and highlights the broad implications of our results. +123 Locality and Manifold Learning. Our intuition for the behaviors in this work is that they arise due to +124 some form of “locality” of the trained classifiers, in an appropriate embedding space. For example, the +125 behavior observed in Experiment $\perp$ would be consistent with that of a 1-Nearest-Neighbor classifier +126 in a embedding that separates the CIFAR-10 classes well. This intuition that classifiers learn good +127 embeddings is present in various forms in the literature, for example: the so-called called “manifold +128 hypothesis,” that natural data lie on a low-dimensional manifold [44, 61], as well as works on local +129 stiffness of the loss landscape $\mathbb { \lVert 1 9 \rVert }$ , and works showing that overparameterized neural networks can +130 learn hidden low-dimensional structure in high-dimensional settings [6, 15, 21]. It is open to more +131 formally understand connections between our work and the above. +132 Other Related Works. Our conjectures also describe neural networks under label noise, which has +133 been empirically and theoretically studied in the past [9, 14, 45, 54, 63, 71, 72], though not formally +134 characterized. A full discussion of related works is in Appendix A. + +# 135 2 Preliminaries + +136 Notation. We consider joint distributions $\mathcal { D }$ on $x \in \mathcal { X }$ and discrete $y \in \mathcal { y } = [ k ]$ . Let $S =$ +137 $\{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { n } \sim { \mathcal { D } } ^ { n }$ denote a train set of $n$ iid samples from $\mathcal { D }$ . Let $\mathcal { A }$ denote the training procedure +138 (including architecture and training algorithm for neural networks), and let $f \gets \mathrm { T r a i n } _ { \mathcal { A } } ( S )$ denote +139 training a classifier $f$ on train-set $S$ using procedure $\mathcal { A }$ . We consider classifiers which output hard +140 decisions $f : \mathcal { X } \mathcal { Y }$ . Let $\mathrm { N N } _ { S } ( x ) = x _ { i }$ denote the nearest-neighbor to $x$ in train-set $S$ , with +141 respect to a distance metric $d$ . Our theorems will apply to any distance metric, and so we leave +142 this unspecified. Let $\mathrm { N N } _ { S } ^ { ( y ) } ( x )$ denote the nearest-neighbor estimator itself, that is, $\mathrm { N N } _ { S } ^ { ( y ) } ( x ) : = y _ { i }$ +143 where $x _ { i } = \mathrm { N N } _ { S } ( x )$ . +144 Experimental Setup. Briefly, we train all classifiers to interpolation (to 0 train error). Neural +145 networks (MLPs and ResNets $\mathbb { \oplus } \mathbb { I } ,$ ) are trained with SGD. Interpolating decision trees are trained +146 using the growth rule from Random Forests $\mathbb { \lVert 1 2 \rVert }$ . For kernel classification, we consider kernel +147 regression on one-hot labels and kernel SVM, with small or 0 of regularization (which is often +148 optimal $\pmb { \mathbb { H } }$ ). Full experimental details are provided in Appendix B. +149 Distributional Closeness. We consider the following notion of closeness for two probability dis +150 tributions: For two distributions $P , Q$ over $\mathcal { X } \times \mathcal { V }$ , let a “test” (or “distinguisher”) be a function +151 $T : \mathcal { X } \times \mathcal { Y } [ 0 , 1 ]$ which accepts a sample from either distribution, and is intended to classify the +152 sample as either from distribution $P$ or $Q$ . For any set ${ \mathcal { C } } \subseteq \{ T : \mathcal { X } \times \mathcal { Y } \to [ 0 , 1 ] \}$ of tests, we say +153 distributions $P$ and $Q$ are “ $\varepsilon$ -indistinguishable up to $\mathcal { C }$ -tests” if they are close with respect to all tests +154 in class $\mathcal { C }$ . That is, + +$$ +P \approx _ { \varepsilon } ^ { \mathcal { C } } Q \longleftrightarrow \operatorname* { s u p } _ { T \in { \mathcal { C } } } \Big | \underset { ( x , y ) \sim P } { \mathbb { E } } [ T ( x , y ) ] - \underset { ( x , y ) \sim Q } { \mathbb { E } } [ T ( x , y ) ] \Big | \leq \varepsilon +$$ + +155 Total-Variation distance is equivalent to closeness in all tests, i.e. $\mathcal { C } = \{ T : \mathcal { X } \times \mathcal { Y } [ 0 , 1 ] \}$ , but we +156 consider closeness for restricted families of tests $\mathcal { C }$ . $P \approx _ { \varepsilon } Q$ denotes $\varepsilon$ -closeness in TV-distance. + +# 3 Feature Calibration Conjecture + +# 3.1 Distributions of Interest + +59 We first define three key distributions that we will use in stating our formal conjecture. For a given +60 data distribution $\mathcal { D }$ over $\mathcal { X } \times \mathcal { V }$ and training procedure $\operatorname { T r a i n } _ { A }$ , we consider the following three +61 distributions over $\mathcal { X } \times \mathcal { V }$ : +1. Source D: $( x , y )$ where $x , y \sim \mathcal { D }$ . +2. Train ${ \mathcal { D } } _ { \mathrm { t r } }$ : $( x _ { \mathrm { t r } } , f ( x _ { \mathrm { t r } } ) )$ where $S \sim \mathcal { D } ^ { n }$ $, f \mathrm { T r a i n } _ { \cal A } ( S ) , ( x _ { \mathrm { t r } } , y _ { \mathrm { t r } } ) \sim S$ +3. Test $\underline { { \mathcal { D } _ { \mathrm { t e } } \mathbf { : } } } \left( x , f ( x ) \right)$ where $S \sim \mathcal { D } ^ { n } , f \operatorname { T r a i n } _ { A } ( S ) , x , y \sim \mathcal { D }$ +165 The source distribution $\mathcal { D }$ is simply the original distribution. To sample once from the Train Dis +166 tribution ${ \mathcal { D } } _ { \mathrm { t r } }$ , we first sample a train set $S \sim \mathcal { D } ^ { n }$ , train a classifier $f$ on it, then output $( x _ { \mathrm { t r } } , f ( x _ { \mathrm { t r } } ) )$ +167 for a random train point $x _ { \mathrm { t r } } \in S$ . That is, ${ \mathcal { D } } _ { \mathrm { t r } }$ is the distribution of input and outputs of a trained +168 classifier $f$ on its train set. To sample once from the Test Distribution $\mathcal { D } _ { \mathrm { t e } }$ , we do this same proce +169 dure, but output $( x , f ( x ) )$ for a random test point $x$ . That is, the $\mathcal { D } _ { \mathrm { t e } }$ is the distribution of input and +170 outputs of a trained classifier $f$ at test time. The only difference between the Train Distribution and +171 Test Distribution is that the point $x$ is sampled from the train set or the test set, respectively.2 For +172 interpolating classifiers, $f ( x _ { \mathrm { t r } } ) = y _ { \mathrm { t r } }$ on the train set, and so the Source and Train distributions are +173 equivalent: $\mathcal { D } \equiv \mathcal { D } _ { \mathrm { t r } }$ . (Note that these definitions, crucially, involve randomness from sampling the +174 train set, training the classifier, and sampling a test point). + +# 175 3.2 Feature Calibration + +We now formally describe the Feature Calibration Conjecture. At a high level, we argue that the distributions $\mathcal { D } _ { \mathrm { t e } }$ and $\mathcal { D }$ are statistically close for interpolating classifiers if we first “coarsen” the domain of $x$ by some partition $L : \mathcal { X } [ M ]$ in to $M$ parts. That is, for certain partitions $L$ , the following distributions are statistically close: + +$$ +( L ( x ) , f ( x ) ) _ { x \sim \mathcal { D } } \approx _ { \varepsilon } ( L ( x ) , y ) _ { x \sim \mathcal { D } } +$$ + +176 We think of $L$ as defining subgroups over the domain— for example, $L ( x ) \in \{ \deg , \mathrm { c a t } , \mathrm { h o r s e . } . . \}$ . +177 Then, the above statistical closeness is essentially equivalent to requiring that for all subgroups +178 $\ell \in [ M ]$ , the conditional distribution of classifier output on the subgroup— $p ( f ( x ) | L ( x ) = \bar { \ell } )$ — is +179 close to the true conditional distribution: $p ( y | L ( x ) = \bar { \ell } )$ ). +180 The crux of our conjecture lies in defining exactly which subgroups $L$ satisfy this distributional +181 closeness, and quantifying the $\varepsilon$ approximation. This is subtle, since it must depend on almost all +182 parameters of the problem. For example, consider a modification to Experiment 1, where we use +183 a fully-connected network (MLP) instead of a ResNet. An MLP cannot properly distinguish cats +184 even when it is actually provided the real CIFAR-10 labels, and so (informally) it has no hope of +185 behaving differently on cats in the setting of Experiment 1, where the cats are not labeled explicitly +186 (See Figure ${ \bf C } . 2$ for results with MLPs). Similarly, if we train the ResNet with very few samples from +187 the distribution, the network will be unable to recognize cats. Thus, the allowable partitions must +188 depend on the classifier family and the training method, including the number of samples. +189 We conjecture that allowable partitions are those which can themselves be learnt to good test +190 performance with an identical training procedure, but trained with the labels of the partition $L$ instead +191 of $y$ . To formalize this, we define a distinguishable feature: a partition of the domain $\mathcal { X }$ that is +192 learnable for a given training procedure. Thus, in Experiment $^ { 1 , }$ the partition into CIFAR-10 classes +193 would be a distinguishable feature for ResNets (trained with SGD with 50K or more samples), but +194 not for MLPs. The definition below depends on the training procedure $\mathcal { A }$ , the data distribution $\mathcal { D }$ +195 number of train samples $n$ , and an approximation parameter $\varepsilon$ (which we think of as $\varepsilon \approx 0$ ). + +Definition 1 $( ( \varepsilon , \mathcal { A } , \mathcal { D } , n )$ -Distinguishable Feature). For a distribution $\mathcal { D }$ over $\mathcal { X } \times \mathcal { V }$ , number of samples $n$ , training procedure $\mathcal { A }$ , and small $\varepsilon \geq 0$ , an $( \varepsilon , \mathcal { A } , \mathcal { D } , n )$ -distinguishable feature is $a$ partition $L : \mathcal { X } [ M ]$ of the domain $\mathcal { X }$ into $M$ parts, such that training a model using $\mathcal { A }$ on $n$ samples labeled by $L$ works to classify $L$ with high test accuracy. Precisely, $L$ is a $( \varepsilon , \mathcal { A } , \mathcal { D } , n )$ - distinguishable feature $i f$ : + +$$ +\begin{array} { c c } { { } } & { { \mathrm { ~ P r ~ } } } & { { [ f ( x ) = L ( x ) ] \geq 1 - \varepsilon } } \\ { { } } & { { } } & { { \nonumber } } \\ { { } } & { { \nonumber } } & { { f \mathrm { T r a i n } _ { \cal A } ( S ) ; x { \sim } \mathcal { D } } } \end{array} +$$ + +196 This definition depends only on the marginal distribution of $\mathcal { D }$ on $x$ , and not on the label distribution +197 $p _ { \mathcal { D } } ( y | x )$ . To recap, this definition is meant to capture a labeling of the domain $\mathcal { X }$ that is learnable for +198 a given training procedure $\mathcal { A }$ . It must depend on the architecture used by $\mathcal { A }$ and number of samples +199 $n$ , since more powerful classifiers can distinguish more features. Note that there could be many +200 distinguishable features for a given setting $( \varepsilon , \mathcal { A } , \mathcal { D } , n )$ — including features not implied by the class +201 label such as the presence of grass in a CIFAR-10 image. Our main conjecture follows. +202 Conjecture 1 (Feature Calibration). For all natural distributions $\mathcal { D }$ , number of samples $n$ , interpo +203 lating training procedures $A$ , and $\varepsilon \geq 0$ , the following distributions are statistically close for all +204 $( \varepsilon , \mathcal { A } , \mathcal { D } , n )$ -distinguishable features $L$ : + +$$ +\begin{array} { r l r l } { ( L ( x ) , f ( x ) ) } & { { } \approx _ { \varepsilon } } & { } & { { } ( L ( x ) , y ) } \\ { f \gets \mathrm { T r a i n } _ { \cal A } ( \mathscr { D } ^ { n } ) ; x , y { \sim } \mathscr { D } } & { } & { { } x , y { \sim } \mathscr { D } } \end{array} +$$ + +$$ +\begin{array} { r l r } { ( L ( x ) , \widehat { y } ) } & { { } \approx _ { \varepsilon } } & { ( L ( x ) , y ) } \\ { _ { - } x , \widehat { y } { \sim } \mathcal { D } _ { \mathrm { t e } } } & { { } } & { x , y { \sim } \mathcal { D } } \end{array} +$$ + +206 This claims that the TV distance between the LHS and RHS of Equation $\textcircled{4}$ is at most $\varepsilon$ , where $\varepsilon$ is the +207 error of the distinguishable feature (in Definition $\mathbb { D }$ . We claim that this holds for all distinguishable +208 features $L$ “automatically” – we simply train a classifier, without specifying any particular partition. +209 The formal statements of Definition $\dot { 1 }$ and Conjecture $^ 1$ may seem somewhat arbitrary, involving +210 many quantifiers over $( \varepsilon , \mathcal { A } , \mathcal { D } , n )$ . However, we believe these statements are natural: In addition +211 to extensive experimental evidence in Section $^ { 4 , }$ we also prove that Conjecture $^ 1$ is formally true as +212 stated for 1-Nearest-Neighbor classifiers in Theorem 1. + +# 213 3.3 Feature Calibration for 1-Nearest-Neighbors + +214 Here we prove that the 1-Nearest-Neighbor classifier formally satisfies Conjecture $^ { 1 , }$ under mild +215 assumptions. We view this theorem as support for our (somewhat involved) formalism of Conjecture 1. +216 Indeed, without Theorem 1 below, it is unclear if our statement of Conjecture 1 can ever be satisfied by +217 any classifier, or if it is simply too strong to be true. This theorem applies generically to a wide class +218 of distributions; the only assumption is a weak regularity condition: sampling the nearest-neighbor +219 train point to a random test point should yield (close to) a uniformly random test point. +220 Theorem 1. Let $\mathcal { D }$ be a distribution over $\mathcal { X } \times \mathcal { V } _ { : }$ , and let $n \in \mathbb N$ be the number of train samples. +221 Assume the following regularity condition holds: Sampling the nearest-neighbor train point to a +222 random test point yields (close to) a uniformly random test point. That is, suppose that for some +223 small $\delta \geq 0$ , the distributions: $\begin{array} { r l r } { \{ \mathrm { N N } _ { S } ( x ) \} _ { S \sim \mathcal { D } ^ { n } } } & { { } \approx _ { \delta } } & { \{ x \} _ { x \sim \mathcal { D } } } \end{array}$ . Then, Conjecture 1 holds. That is, +224 for all $( \varepsilon , \mathrm { N N } , \mathcal { D } , n )$ -distinguishable partitions $L$ , the following distributions are statistically close: + +$$ +\begin{array} { r l } { \{ ( y , L ( x ) ) \} _ { x , y \sim \mathcal { D } } } & { { } \approx _ { \varepsilon + \delta } \quad \{ ( \mathrm { N N } _ { S } ^ { ( y ) } ( x ) , L ( x ) \} _ { S \sim \mathcal { D } ^ { n } } } \end{array} +$$ + +The proof of Theorem $\bigstar$ is straightforward, and provided in Appendix $\overline { { \mathbb { D } } } -$ but this strong property of nearest-neighbors was not know before, to our knowledge. + +# 3.4 Limitations: Natural Distributions + +Technically, Conjecture $\bigtriangledown$ is not fully specified, since it does not specify exactly which classifiers or distributions obey the conjecture. We do not claim that all classifiers and distributions satisfy our conjectures. Nevertheless, we claim our conjectures hold in all “natural” settings, which informally means settings with real data and classifiers that are actually used in practice. The problem of understanding what separates “natural distributions” from artificial ones is not unique to our work, and lies at the heart of deep learning theory. Many theoretical works handle this by considering simplified distributional assumptions (e.g. smoothness, well-separatedness, gaussianity), which are mathematically tractable, but untested in practice [2, 4, 35]. In contrast, we do not make untestable mathematical assumptions. This benefit of realism comes at the cost of mathematical formalism. We hope that as the theory of deep learning evolves, we will better understand how to formalize the notion of “natural” in our conjectures. + +# 239 4 Experiments: Feature Calibration + +240 We now give empirical evidence for our conjecture in a variety of settings in machine learning, +241 including neural networks, kernel machines, and decision trees. In each experiment, we consider +242 a feature that is (verifiably) distinguishable, and then test our Feature Calibration conjecture for +243 this feature. Each of the experimental settings below highlights a different aspect of interpolating +244 classifiers, which may be of independent interest. Selected experiments are summarized here, with +245 full details and further experiments in Appendix C. + +Constant Partition: Consider the trivially-distinguishable constant feature: $L ( x ) = 0$ everywhere. For this feature, Conjecture $^ 1$ reduces to the statement that the marginal distribution of class labels for any interpolating classifier is close to the true marginals $p ( y )$ . To test this, we construct a variant of CIFAR-10 with class-imbalance and train classifiers with varying levels of test errors to interpolation on it. As shown in Figure $2 \mathrm { B }$ , the marginals of the classifier outputs are close to the true marginals, even for a classifier that only achieves $37 \%$ test error. + +252 Coarse Partition: Consider AlexNet trained on ILSVRC-2012 ImageNet $\begin{array} { r l } { { \bigl [ \bigl | \boldsymbol { 5 } 6 \bigr | \bigr ] } } \end{array}$ , a 1000-class image +253 classification problem with 116 varieties of dogs. The network achieves only $56 . 5 \%$ accuracy +254 on the test set. But it will at least classify most dogs as dogs (with $9 8 . 4 \%$ accuracy), making +255 $L ( x ) \in \{ \log , \mathrm { n o t } \mathrm { - d o g } \}$ a distinguishable feature. Moreover, as predicted by Conjecture 1, the +256 network is calibrated with respect to dogs: $2 2 . 4 \%$ of all dogs in ImageNet are Terriers, and indeed +257 the network classifies $2 0 . 9 \%$ of all dogs as Terriers (though it has $9 \%$ error on which specific dogs +258 it classifies as Terriers). See Appendix Table $2$ for details, and related experiments on ResNets and +259 kernels in Appendix C. +260 Class Partition: We now consider settings where the class labels are themselves distinguishable +261 features (eg: CIFAR-10 classes are distinguishable by ResNets). Here our conjecture predicts the +262 behavior of interpolating classifiers under structured label noise. As an example, we generate a +263 random spare confusion matrix and apply this to the labels of CIFAR-10 as shown in Figure $2 \mathrm { A }$ . +264 We find that a WideResNet trained to interpolation outputs the same confusion matrix on the test +265 set as well (Figure $\bigstar \bigstar \bigstar$ ). Now, to test that this phenomenon is indeed robust to the level of noise, we +266 mislabel class $0 \overline { { 1 } }$ with probability $p$ in the CIFAR-10 train set for varying levels of $p$ . We then +267 observe $\widehat { p } .$ , the fraction of samples mislabeled by this network from $0 1$ in the test set (Figure $3 \mathsf { A }$ +268 shows $p$ versus $\widehat { p } \big )$ ). The Bayes optimal classifier for this distribution behaves as a step function (in +269 bred), and a classifier that obeys Conjecture 1 exactly would follow the diagonal (in green). The actual +270 experiment (in blue) is close to the behavior predicted by Conjecture 1. This experiment shows a +271 contrast with classical learning theory. While most existing theory focuses on whether classifiers +272 converge to the Bayes optimal solution, we show that interpolating classifiers behave “optimally” in a +273 different sense: they match the distribution of their train set. We discuss this further in Section 5. See +274 Appendix C.4 for more experiments, including other classifiers such as Decisions Trees. +275 Multiple features: Conjecture 1 states that the network should be automatically calibrated for +276 all distinguishable features, without any explicit labels for them. To do this, we use the CelebA +277 dataset $\ [ \overbrace { 3 7 } ]$ , containing images with many binary attributes per image. (“male”, “blond hair”, etc). +78 We train a ResNet-50 to classify one of the hard attributes (accuracy $80 \%$ ) and confirm that the +279 Feature Calibration holds for all the other attributes (Figure $3 )$ that are themselves distinguishable. +280 Quantitative predictions: We now test the quantitative predictions made by Conjecture $\boxed { 1 }$ This +281 conjecture states that the TV-distance between the joint distributions $( L ( x ) , f ( x ) )$ and $( \overline { { \cal L } } ( x ) , y )$ +282 is at most $\varepsilon$ , where $\varepsilon$ is the error of the training procedure in learning $L$ (see Definition $\blacktriangleleft$ . To +283 test this, we consider binary task similar to Experiment $^ 1$ where (Ship, Plane) are labeled as +284 class 0 and (Cat, Dog) are labeled as class 1, with $p = \overline { { 0 . 3 } }$ fraction of cats mislabeled to class 0. +285 Then, we train a convolutional network to interpolation on this task. To vary the error $\varepsilon$ on these +286 distinguishable features systematically, we train networks with varying number of train samples. +287 Networks with fewer samples have larger $\varepsilon$ since they are worse at classifying the distinguishable +288 features of (Ship,Plane,Cat,Dog). Then, we use the same setup to train networks on the binary +289 task and measure the TV-distance between $( L ( x ) , f ( x ) )$ and $( L ( x ) , y )$ in this task. The results are +290 shown in Figure $\textcircled { 3 } \textcircled { C }$ . As predicted, the TV distance on the binary task is upper bounded by $\varepsilon$ error on +291 the 4-way classification task. + +![](images/6ff6f349cc56237c12e10b9449254ccf8182d950c2d49c7bf5f90d180bc78987.jpg) +Figure 2: Feature Calibration. (A) Random confusion matrix on CIFAR-10, with a WideResNet28- 10 trained to interpolation. Left: Joint density of labels $y$ and original class $L$ on the train set. Right: Joint density of classifier predictions $f ( x )$ and original class $L$ on the test set. These two joint densities are close, as predicted by Conjecture 1. $\mathbf { ( B ) }$ Constant partition: The CIFAR-10 train set is class-rebalanced according to the left panel distribution. The center and right panels show that both ResNets and MLPs have the correct marginal distribution of outputs, even though the MLP has high test error. + +![](images/351b3d01446a41281fb1f6bfd070bfaac6e6ab5323b60b36975e762dea5c4603.jpg) +Figure 3: Feature Calibration. (A) CIFAR-10 with $p$ fraction of class $0 1$ mislabeled on the train set. Plotting observed noise on classifier outputs vs. applied noise on the train set. $\mathbf { ( B ) }$ Multiple feature calibration on CelebA. (C) TV-distance between $( \bar { L } \bar { ( } x ) , f ( x ) )$ and $( L ( x ) , y )$ for a variant of Experiment $\bigtriangledown$ with error on the distinguishable partitions $( \varepsilon )$ . The error was changed by changing the number of samples $n$ . + +# 92 5 Distributional Generalization + +In order to relate our results to the classical theory of generalization, we now propose a formal notion of “Distributional Generalization”, which subsumes both Feature Calibration and classical generalization. In fact, we will also give preliminary evidence that this new notion can apply even for non-interpolating methods, unlike Feature Calibration. + +7 A trained model $f$ obeys classical generalization (with respect to test error) if its error on the train set +98 is close to its error on the test distribution. We first rewrite this using our definitions below. + +Classical Generalization (informal): Let $f$ be a trained classifier. Then $f$ generalizes if: + +$$ +\begin{array} { r } { \underset { x \sim T r a i n S e t } { \mathbb { E } } [ \mathbb { 1 } \{ \widehat { y } \neq y ( x ) \} ] \approx \underset { \stackrel { x \sim T e s t S e t } { \widehat { y } f ( x ) } } { \mathbb { E } } [ \mathbb { 1 } \{ \widehat { y } \neq y ( x ) \} ] } \\ { \quad \widehat { y } f ( x ) } \end{array} +$$ + +300 Above, $y ( x )$ is the true class of $x$ and $\widehat { y }$ is the predicted class. The LHS of Equation $\textcircled{6}$ is the train +301 error of $f$ , and the RHS is the test error. Using our definitions of $\mathcal { D } _ { \mathrm { t r } } , \mathcal { D } _ { \mathrm { t e } }$ from Section $\boxed { 3 . 1 }$ and +302 defining $T _ { \mathrm { e r r } } ( x , \widehat { y } ) : = \mathbb { 1 } \{ \widehat { y } \neq y ( x ) \}$ , we can write Equation $6$ equivalently: + +$$ +\underset { x , \widehat { y } \sim \mathcal { D } _ { \mathrm { t r } } } { \mathbb { E } } [ T _ { \mathrm { e r r } } ( x , \widehat { y } ) ] \approx \underset { x , \widehat { y } \sim \mathcal { D } _ { \mathrm { t e } } } { \mathbb { E } } [ T _ { \mathrm { e r r } } ( x , \widehat { y } ) ] +$$ + +303 That is, classical generalization states that a certain function $T _ { \mathrm { e r r } } )$ has similar expectations on both the +304 Train Distribution ${ \mathcal { D } } _ { \mathrm { t r } }$ and Test Distribution $\mathcal { D } _ { \mathrm { t e } }$ . We can now introduce Distributional Generalization, +305 which is a property of trained classifiers. It is parameterized by a set of bounded functions (“tests”): +306 ${ \mathcal { T } } \subseteq \{ T : { \dot { \mathcal { X } } } \times { \dot { \mathcal { y } } } \} \to [ 0 , 1 ] \}$ . +307 Distributional Generalization: Let $f$ be a trained classifier. Then $f$ satisfies Distributional Gener +308 alization with respect to tests $\tau$ if: + +$$ +\forall T \in { \mathcal { T } } : \quad \underset { x , \widehat { y } \sim \mathcal { D } _ { \mathrm { t r } } } { \mathbb { E } } [ T ( x , \widehat { y } ) ] \approx \underset { x , \widehat { y } \sim \mathcal { D } _ { \mathrm { t e } } } { \mathbb { E } } [ T ( x , \widehat { y } ) ] +$$ + +309 + +310 This states that the train and test distribution have similar expectations for all functions in the family +311 $\tau$ , which we can write as: $\mathcal { D } _ { \mathrm { t r } } \approx ^ { \mathcal { T } } \ \mathcal { D } _ { \mathrm { t e } }$ . For the singleton set $\mathcal { T } = \{ T _ { \mathrm { e r r } } \}$ , this is equivalent to +312 classical generalization, but it may hold for much larger sets $\tau$ . This definition of Distributional +313 Generalization, like the definition of classical generalization, is just defining an object— not stating +314 when or how it is satisfied. Feature Calibration turns this into a concrete conjecture. + +# 15 5.1 Feature Calibration as Distributional Generalization + +We can write our Feature Calibration Conjecture as a special case of Distributional Generalization, for a certain family of tests $\tau$ . Informally, for a given setting, the family $\tau$ is all tests which take input $( x , y )$ , but only depend on $x$ via a distinguishable feature (Definition $^ { 1 ) }$ . For example, a test of the form $T ( x , y ) \dot { = } g \bar { ( } L ( x ) , y )$ where $L$ is a distinguishable feature, and $g$ is arbitrary. Formally, for a given problem setting, suppose $\mathcal { L }$ is the set of $( \varepsilon , \mathcal { A } , \mathcal { D } , n )$ -distinguishable features. Then Conjecture $\bar { 1 }$ states that $\forall L \in \mathcal { L } : ( L ( x ) , f ( x ) ) \approx _ { \varepsilon } ( L ( x ) , y )$ . This is equivalent to the statement + +$$ +\mathcal { D } _ { \mathrm { t e } } \approx _ { \varepsilon } ^ { T } \mathcal { D } +$$ + +![](images/d5260b32140f48e31ae50f7a04c4cbecb56357865c0ece09591403361bb9abd2.jpg) +Figure 4: Distributional Generalization for WideResNet on CIFAR-10. The confusion matrices on the train set (top row) and test set (bottom row) remain close throughout training. + +322 where $\tau$ is the set of functions $\mathcal T : = \{ T : T ( x , y ) = g ( L ( x ) , y )$ , $L \in \mathcal { L } , g : \mathcal { X } \times \mathcal { Y } [ 0 , 1 ] \}$ . +323 For interpolating classifiers, we have $\mathcal { D } \equiv \mathcal { D } _ { \mathrm { t r } }$ , and so Equation $\textcircled { 9 }$ is equivalent to $\mathcal { D } _ { \mathrm { t e } } \approx _ { \varepsilon } ^ { \mathcal { T } } \mathcal { D } _ { \mathrm { t r } }$ +324 which is a statement of Distributional Generalization. Since any classifier family will contain a large +325 number of distinguishable features, the set $\mathcal { L }$ may be very large. Hence, the distributions ${ \mathcal { D } } _ { \mathrm { t r } }$ and $\mathcal { D } _ { \mathrm { t e } }$ +326 can be thought of as being close as distributions. + +# 5.2 Beyond Interpolating Methods + +The previous sections have focused on interpolating classifiers, which fit their train sets exactly. Here we informally discuss how to extend our results beyond interpolating methods. The discussion in this section is not as precise as in previous sections, and is only meant to suggest that our abstraction of Distributional Generalization can be useful in other settings. + +For non-interpolating classifiers, we may still expect that they behave similarly on their test and train sets – that is, $\mathcal { D } _ { \mathrm { t e } } \approx ^ { \tau } \mathcal { D } _ { \mathrm { t r } }$ for some family of tests $\tau$ . For example, the following is a possible generalization of Feature Calibration to non-interpolating methods. + +335 Conjecture 2 (Generalized Feature Calibration, informal). For trained classifiers $f _ { i }$ , the following +336 distributions are statistically close for many partitions $L$ of the domain: + +$$ +\begin{array} { r l r } { ( L ( x ) , \widehat { y } ) } & { { } \approx } & { ( L ( x ) , \widehat { y } ) } \\ { x , \widehat { y } \sim \mathcal { D } _ { \mathrm { t e } } } & { { } } & { x , \widehat { y } \sim \mathcal { D } _ { \mathrm { t r } } } \end{array} +$$ + +337 We leave unspecified the exact set of partitions $L$ for which this holds, since we do not yet understand +338 the appropriate notion of “distinguishable feature” in this setting. However, we give experimental +339 evidence suggesting some refinement of Conjecture $2$ is true. In Figure $^ { 4 , }$ we apply label noise from +340 a random sparse confusion to the CIFAR-10 train set. We then train a single WideResNet28-10, and +341 measure its predictions on the train and test sets over increasing train time (SGD steps). The top row +342 shows the confusion matrix of predictions $f ( x )$ vs true labels $L ( x )$ on the train set, and the bottom +343 row shows the corresponding confusion matrix on the test set. As the network is trained for longer, it +344 fits more of the noise on the train set, and this noise is mirrored almost identically on the test set. Full +345 experimental details, and an analogous experiment for kernels, are given in Appendix B. + +# 346 6 Conclusion + +347 This work initiates the study of a new kind of generalization— Distributional Generalization— which +348 considers the entire input-output behavior of classifiers, instead of just their test error. We presented +349 both new empirical behaviors, and new formal conjectures which characterize these behaviors. +350 Roughly, our conjecture states that the outputs of classifiers on the test set are “close in distribution” +351 to their outputs on the train set. These results build a deeper understanding of models used in practice, +352 and we hope our results inspire further work on distributional generalization in machine learning. + +References [1] Madhu S Advani and Andrew M Saxe. High-dimensional dynamics of generalization error in neural networks. arXiv preprint arXiv:1710.03667, 2017. [2] Zeyuan Allen-Zhu, Yuanzhi Li, and Yingyu Liang. Learning and generalization in overparameterized neural networks, going beyond two layers. arXiv preprint arXiv:1811.04918, 2018. [3] Zeyuan Allen-Zhu, Yuanzhi Li, and Yingyu Liang. Learning and generalization in overparameterized neural networks, going beyond two layers. 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[Yes] (b) Did you include complete proofs of all theoretical results? [Yes] + +3. If you ran experiments... + +(a) Did you include the code, data, and instructions needed to reproduce the main experimental results (either in the supplemental material or as a URL)? [No] No new methods were introduced, so the code is standard. We fully specify all experimental hyperparameters for the sake of reproduction. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [No] The experiments we consider all exhibit concentration around their expected values, and this is well-known in the community. Notably, we only consider supervised learning. +(d) Did you include the total amount of compute and the type of resources used (e.g., type of GPUs, internal cluster, or cloud provider)? [No] + +4. 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[N/A] \ No newline at end of file diff --git a/parse/train/CoJibBRjPXQ/CoJibBRjPXQ_content_list.json b/parse/train/CoJibBRjPXQ/CoJibBRjPXQ_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..0867c8ec1f3ac0f8f1f17d83d882f20de0932e94 --- /dev/null +++ b/parse/train/CoJibBRjPXQ/CoJibBRjPXQ_content_list.json @@ -0,0 +1,1313 @@ +[ + { + "type": "text", + "text": "Distributional Generalization: Characterizing Classifiers Beyond Test Error ", + "text_level": 1, + "bbox": [ + 222, + 122, + 777, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous Author(s) \nAffiliation \nAddress \nemail ", + "bbox": [ + 423, + 226, + 580, + 281 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 318, + 535, + 334 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 We present a new set of empirical properties of interpolating classifiers, includ \n2 ing neural networks, kernel machines and decision trees. Informally, the output \n3 distribution of an interpolating classifier matches the distribution of true labels, \n4 when conditioned on certain subgroups of the input space. For example, if we \n5 mislabel $30 \\%$ of dogs as cats in the train set of CIFAR-10, then a ResNet trained \n6 to interpolation will in fact mislabel roughly $30 \\%$ of dogs as cats on the test set \n7 as well, while leaving other classes unaffected. These behaviors are not captured \n8 by classical generalization, which would only consider the average error over \n9 the inputs, and not where these errors occur. We introduce and experimentally \n10 validate a formal conjecture that specifies the subgroups for which we expect this \n11 distributional closeness. Further, we show that these properties can be seen as a \n12 new form of generalization, which advances our understanding of the implicit bias \n13 of interpolating methods. ", + "bbox": [ + 148, + 347, + 766, + 527 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "14 1 Introduction ", + "text_level": 1, + "bbox": [ + 148, + 549, + 312, + 566 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "15 In learning theory, when we study how well a classifier “generalizes”, we usually consider a single \n16 metric – its test error $\\mathbb { \\left. \\boldsymbol { \\mathsf { E 9 } } \\right. }$ . However, there could be many different classifiers with the same test error \n17 that differ substantially in, say, the subgroups of inputs on which they make errors or in the features \n18 they use to attain this performance. Reducing classifiers to a single number misses these rich aspects \n19 of their behavior. In this work, we propose formally studying the entire joint distribution of classifier \n20 inputs and outputs. That is, the distribution $( x , f ( { \\overset { \\cdot } { x } } ) )$ for samples from the distribution $x \\sim D$ for a \n21 classifier $f ( x )$ . This distribution reveals many structural properties of the classifier beyond test error \n22 (such as where the errors occur). In fact, we discover new behaviors of modern classifiers that can \n23 only be understood in this framework. As an example, consider the following experiment (Figure 1). \n24 Experiment 1. Consider a binary classification version of CIFAR-10, where CIFAR-10 images $x$ \n25 have binary labels Animal/Object. Take 50K samples from this distribution as a train set, but \n26 apply the following label noise: flip the label of cats to Object with probability $30 \\%$ . Now train \n27 a WideResNet $f$ to 0 train error on this train set. How does the trained classifier behave on test \n28 samples? Options below: ", + "bbox": [ + 147, + 580, + 825, + 705 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 707, + 825, + 776 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "29 (1) The test error is low across all classes, since there is only $3 \\%$ overall label noise in the train set. ", + "bbox": [ + 156, + 786, + 818, + 801 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "30 (2) Test error is “spread” across the animal class. After all, the classifier is not explicitly told what a \n31 cat or a dog is, just that they are all animals. \n32 (3) The classifier misclassifies roughly $30 \\%$ of test cats as “objects”, but all other animals are largely \n33 unaffected. \n34 The reality is closest to option (3) as shown in Figure $\\mathbb { \\underline { { \\Pi } } }$ The left panel shows the joint density of \n35 train inputs $x$ with train labels Object/Animal. Since the classifier is interpolating, the classifier \n36 outputs on the train set are identical to the left panel. The right panel shows the classifier predictions \n37 $f ( \\bar { x } )$ on test inputs $x$ . \n38 There are several notable things about this experiment. First, the error is localized to cats in the test \n39 set as it was in the train set, even though no explicit cat labels were provided. The interpolating \n40 model is thus sensitive to subgroup-structures in the distribution. Second, the amount of error on \n41 the cat class is close to the noise applied on the train set. Thus, the behavior of the classifier on the \n42 train set generalizes to the test set in a stronger sense than just average error. Specifically, when \n43 conditioned on a subgroup (cat), the distribution of the true labels is close to that of the classifier \n44 outputs. Third, this is not the behavior of the Bayes-optimal classifier, which would always output \n45 the maximum-likelihood label instead of reproducing the noise in the distribution. The network \n46 is thus behaving poorly from the perspective of Bayes-optimality, but behaving well in a certain \n47 distributional sense (which we will formalize soon). \n48 Now, consider a seemingly unrelated experimental observation. Take an AlexNet trained on ImageNet, \n49 a 1000-way classification problem with 116 varieties of dogs. AlexNet only achieves $56 . 5 \\%$ test \n50 accuracy on ImageNet. However, it at least classifies most dogs as some variety of dog (with $9 8 . 4 \\%$ \n51 accuracy), though it may mistake the exact breed. In this work, we show that both of these experiments \n52 are examples of the same underlying phenomenon. We empirically show that for an interpolating \n53 classifier, its classification outputs are close in distribution to the true labels — even when conditioned \n54 on many subsets of the domain. For example, in Figure 1, the distribution of $p ( f ( x ) | x = \\mathrm { c a t } )$ is close \n55 to the true label distribution of $p ( y | x = \\mathrm { c a t } )$ . We propose a formal conjecture (Feature Calibration), \n56 that predicts which subgroups of the domain can be conditioned on for the above distributional \n57 closeness to hold. \n58 These experimental behaviors could not have been captured solely by looking at average test error, \n59 as is done in the classical theory of generalization. In fact, they are special cases of a new kind of \n60 generalization, which we call “Distributional Generalization”. ", + "bbox": [ + 155, + 806, + 823, + 835 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 155, + 840, + 823, + 869 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 148, + 876, + 825, + 904 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 150, + 90, + 825, + 119 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/beb9208b2ea626ae58269efe27de7f9a751af1070e33cc6b87154a22c4bb5b6a.jpg", + "image_caption": [ + "Figure 1: The setup and result of Experiment 1. The CIFAR-10 train set is labeled as either Animals or Objects, with label noise affecting only cats. A WideResNet-28-10 is then trained to 0 train error on this train set, and evaluated on the test set. Full experimental details in Appendix C.2 " + ], + "image_footnote": [], + "bbox": [ + 173, + 133, + 818, + 214 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 281, + 825, + 419 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 145, + 425, + 825, + 564 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 148, + 570, + 826, + 612 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "61 1.1 Distributional Generalization ", + "text_level": 1, + "bbox": [ + 155, + 630, + 418, + 645 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "62 Informally, Distributional Generalization states that the outputs of classifiers $f$ on their train sets 63 and test sets are close as distributions (as opposed to close in just error). That is, the following joint distributions1 64 are close: ", + "bbox": [ + 155, + 655, + 825, + 696 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/7c22c9c8c12c88279f31b5b2a401a871effbd359f054d58c37179f5c1046d280.jpg", + "text": "$$\n( x , f ( x ) ) _ { x \\sim \\mathrm { T e s t S e t } } \\approx ( x , f ( x ) ) _ { x \\sim \\mathrm { T r a i n S e t } }\n$$", + "text_format": "latex", + "bbox": [ + 370, + 698, + 627, + 715 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "65 The remainder of this paper is devoted to making the above statement precise, and empirically \n66 checking its validity on real-world tasks. Specifically, we want to formally define the notion of \n67 approximation $( \\approx )$ , and understand how it depends on the problem parameters (the type of classifier, \n68 number of train samples, etc). We focus primarily on interpolating methods, where we formalize \n69 Equation $( 1 )$ through our Feature Calibration Conjecture. ", + "bbox": [ + 147, + 719, + 825, + 790 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "70 1.2 Our Contributions and Organization ", + "text_level": 1, + "bbox": [ + 148, + 806, + 470, + 821 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "71 In this work, we discover new empirical properties of interpolating classifiers, which are not captured \n72 in the classical framework of generalization. We then propose formal conjectures to characterize \n73 these behaviors. ", + "bbox": [ + 147, + 833, + 825, + 875 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• In Section $\\textcircled { 3 }$ we introduce a formal “Feature Calibration” conjecture, which unifies our experimental observations. Roughly, Feature Calibration says that the outputs of classifiers match the statistics of their training distribution when conditioned on certain subgroups. \n• In Section $\\textcircled { 4 }$ we experimentally stress test our Feature Calibration conjecture across various settings in machine learning, including neural networks, kernel machines, and decision trees. This highlights the universality of our results across machine learning. \n• In Section $5 ,$ we relate our results to classical generalization, by defining a new notion of Distributional Generalization which subsumes both classical generalization and our new conjectures. \n• Finally, in Section $5 . 2$ we informally discuss how Distributional Generalization can be applied even for non-interpolating methods. ", + "bbox": [ + 217, + 90, + 825, + 261 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our results, thus, extend our understanding of the implicit bias of interpolating methods, and introduce a new type of generalization exhibited across many methods in machine learning. ", + "bbox": [ + 166, + 275, + 821, + 303 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "1.3 Related Work and Significance ", + "text_level": 1, + "bbox": [ + 169, + 319, + 428, + 334 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our work has connections to, and implications for many existing research programs in deep learning. ", + "bbox": [ + 165, + 345, + 823, + 361 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Implicit Bias and Overparameterization. There has been a long line of recent work towards understanding overparameterized and interpolating methods, since these pose challenges for classical theories of generalization (e.g. Belkin et al. [8, 9, 10], Breiman [11], Gunasekar et al. $\\mathbb { \\left[ \\left. 2 5 \\right] \\right. }$ , Liang and Rakhlin $\\boxed { \\ B 6 }$ , Nakkiran et al. $\\mathbb { \\lVert \\boldsymbol { 4 3 } \\rVert }$ , Schapire et al. [58], Soudry et al. [62], Zhang et al. $\\pmb { \\mathbb { Z } 1 } \\mathbf { l }$ ). The “implicit bias” program here aims to answer: Among all models with 0 train error, which model is actually produced by SGD? Most existing work seeks to characterize the exact implicit bias of models under certain (sometimes strong) assumptions on the model, training method or the data distribution. In contrast, our conjecture applies across many different interpolating models (from neural nets to decision trees) as they would be used in practice, and thus form a sort of “universal implicit bias” of these methods. Moreover, our results place constraints on potential future theories of implicit bias, and guide us towards theories that better capture practice. ", + "bbox": [ + 173, + 366, + 825, + 518 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "100 Benign Overfitting. Most prior works on interpolating classifiers attempt to explain why training \n101 to interpolation “does not harm” the the model. This has been dubbed “benign overfitting” [7] and \n102 “harmless interpolation” [40], reflecting the widely-held belief that interpolation does not harm the \n103 decision boundary of classifiers. In contrast, we find that interpolation actually does “harm” classifiers, \n104 in predictable ways: fitting the label noise on the train set causes similar noise to be reproduced at \n105 test time. Our results thus indicate that interpolation can significantly affect the decision boundary of \n106 classifiers, and should not be considered a purely “benign” effect. \n107 Classical Generalization and Scaling Limits. Our framework of Distributional Generalization is \n108 insightful even to study classical generalization, since it reveals much more about models than just \n109 their test error. For example, statistical learning theory attempts to understand if and when models \n110 will asymptotically converge to Bayes optimal classifiers, in the limit of large data (“asymptotic \n111 consistency” [59, $\\dot { 6 5 } \\|$ ). In deep learning, there are at least two distinct ways to scale model and data \n112 to infinity together: the underparameterized scaling limit, where data-size $\\gg$ model-size always, and \n113 the overparameterized scaling limit, where data-size $\\ll$ model-size always. The underparameterized \n114 scaling limit is well-understood: when data is essentially infinite, neural networks will converge to \n115 the Bayes-optimal classifier (provided the model-size is large enough, and the optimization is run \n116 for long enough, with enough noise to escape local minima). On the other hand, our work suggests \n117 that in the overparameterized scaling limit, models will not converge to the Bayes-optimal classifier. \n118 Specifically, our Feature Calibration Conjecture implies that in the limit of large data, interpolating \n119 models will approach a sampler from the distribution. That is, the limiting model $f$ will be such that \n120 the output $f ( x )$ is a sample from $p ( y | x )$ , as opposed to the Bayes-optimal $f ^ { * } ( x ) = \\mathop { \\mathrm { a r g m a x } } _ { y } p ( y | x )$ . \n121 This claim— that overparameterized models do not converge to Bayes-optimal classifiers— is unique \n122 to our work as far as we know, and highlights the broad implications of our results. \n123 Locality and Manifold Learning. Our intuition for the behaviors in this work is that they arise due to \n124 some form of “locality” of the trained classifiers, in an appropriate embedding space. For example, the \n125 behavior observed in Experiment $\\perp$ would be consistent with that of a 1-Nearest-Neighbor classifier \n126 in a embedding that separates the CIFAR-10 classes well. This intuition that classifiers learn good \n127 embeddings is present in various forms in the literature, for example: the so-called called “manifold \n128 hypothesis,” that natural data lie on a low-dimensional manifold [44, 61], as well as works on local \n129 stiffness of the loss landscape $\\mathbb { \\lVert 1 9 \\rVert }$ , and works showing that overparameterized neural networks can \n130 learn hidden low-dimensional structure in high-dimensional settings [6, 15, 21]. It is open to more \n131 formally understand connections between our work and the above. \n132 Other Related Works. Our conjectures also describe neural networks under label noise, which has \n133 been empirically and theoretically studied in the past [9, 14, 45, 54, 63, 71, 72], though not formally \n134 characterized. A full discussion of related works is in Appendix A. ", + "bbox": [ + 142, + 525, + 825, + 622 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 628, + 825, + 849 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 856, + 823, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 90, + 825, + 161 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 143, + 166, + 825, + 210 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "135 2 Preliminaries ", + "text_level": 1, + "bbox": [ + 148, + 229, + 318, + 247 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "136 Notation. We consider joint distributions $\\mathcal { D }$ on $x \\in \\mathcal { X }$ and discrete $y \\in \\mathcal { y } = [ k ]$ . Let $S =$ \n137 $\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { n } \\sim { \\mathcal { D } } ^ { n }$ denote a train set of $n$ iid samples from $\\mathcal { D }$ . Let $\\mathcal { A }$ denote the training procedure \n138 (including architecture and training algorithm for neural networks), and let $f \\gets \\mathrm { T r a i n } _ { \\mathcal { A } } ( S )$ denote \n139 training a classifier $f$ on train-set $S$ using procedure $\\mathcal { A }$ . We consider classifiers which output hard \n140 decisions $f : \\mathcal { X } \\mathcal { Y }$ . Let $\\mathrm { N N } _ { S } ( x ) = x _ { i }$ denote the nearest-neighbor to $x$ in train-set $S$ , with \n141 respect to a distance metric $d$ . Our theorems will apply to any distance metric, and so we leave \n142 this unspecified. Let $\\mathrm { N N } _ { S } ^ { ( y ) } ( x )$ denote the nearest-neighbor estimator itself, that is, $\\mathrm { N N } _ { S } ^ { ( y ) } ( x ) : = y _ { i }$ \n143 where $x _ { i } = \\mathrm { N N } _ { S } ( x )$ . \n144 Experimental Setup. Briefly, we train all classifiers to interpolation (to 0 train error). Neural \n145 networks (MLPs and ResNets $\\mathbb { \\oplus } \\mathbb { I } ,$ ) are trained with SGD. Interpolating decision trees are trained \n146 using the growth rule from Random Forests $\\mathbb { \\lVert 1 2 \\rVert }$ . For kernel classification, we consider kernel \n147 regression on one-hot labels and kernel SVM, with small or 0 of regularization (which is often \n148 optimal $\\pmb { \\mathbb { H } }$ ). Full experimental details are provided in Appendix B. \n149 Distributional Closeness. We consider the following notion of closeness for two probability dis \n150 tributions: For two distributions $P , Q$ over $\\mathcal { X } \\times \\mathcal { V }$ , let a “test” (or “distinguisher”) be a function \n151 $T : \\mathcal { X } \\times \\mathcal { Y } [ 0 , 1 ]$ which accepts a sample from either distribution, and is intended to classify the \n152 sample as either from distribution $P$ or $Q$ . For any set ${ \\mathcal { C } } \\subseteq \\{ T : \\mathcal { X } \\times \\mathcal { Y } \\to [ 0 , 1 ] \\}$ of tests, we say \n153 distributions $P$ and $Q$ are “ $\\varepsilon$ -indistinguishable up to $\\mathcal { C }$ -tests” if they are close with respect to all tests \n154 in class $\\mathcal { C }$ . That is, ", + "bbox": [ + 147, + 262, + 825, + 378 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 382, + 825, + 454 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 458, + 825, + 542 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/237b837f7c22cbd66acba9790397f10622cbbeafe3f342db72598964e5ed7f9f.jpg", + "text": "$$\nP \\approx _ { \\varepsilon } ^ { \\mathcal { C } } Q \\longleftrightarrow \\operatorname* { s u p } _ { T \\in { \\mathcal { C } } } \\Big | \\underset { ( x , y ) \\sim P } { \\mathbb { E } } [ T ( x , y ) ] - \\underset { ( x , y ) \\sim Q } { \\mathbb { E } } [ T ( x , y ) ] \\Big | \\leq \\varepsilon\n$$", + "text_format": "latex", + "bbox": [ + 292, + 549, + 705, + 585 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "155 Total-Variation distance is equivalent to closeness in all tests, i.e. $\\mathcal { C } = \\{ T : \\mathcal { X } \\times \\mathcal { Y } [ 0 , 1 ] \\}$ , but we \n156 consider closeness for restricted families of tests $\\mathcal { C }$ . $P \\approx _ { \\varepsilon } Q$ denotes $\\varepsilon$ -closeness in TV-distance. ", + "bbox": [ + 147, + 593, + 826, + 622 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 Feature Calibration Conjecture ", + "text_level": 1, + "bbox": [ + 163, + 642, + 468, + 661 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Distributions of Interest ", + "text_level": 1, + "bbox": [ + 174, + 675, + 380, + 690 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "59 We first define three key distributions that we will use in stating our formal conjecture. For a given \n60 data distribution $\\mathcal { D }$ over $\\mathcal { X } \\times \\mathcal { V }$ and training procedure $\\operatorname { T r a i n } _ { A }$ , we consider the following three \n61 distributions over $\\mathcal { X } \\times \\mathcal { V }$ : \n1. Source D: $( x , y )$ where $x , y \\sim \\mathcal { D }$ . \n2. Train ${ \\mathcal { D } } _ { \\mathrm { t r } }$ : $( x _ { \\mathrm { t r } } , f ( x _ { \\mathrm { t r } } ) )$ where $S \\sim \\mathcal { D } ^ { n }$ $, f \\mathrm { T r a i n } _ { \\cal A } ( S ) , ( x _ { \\mathrm { t r } } , y _ { \\mathrm { t r } } ) \\sim S$ \n3. Test $\\underline { { \\mathcal { D } _ { \\mathrm { t e } } \\mathbf { : } } } \\left( x , f ( x ) \\right)$ where $S \\sim \\mathcal { D } ^ { n } , f \\operatorname { T r a i n } _ { A } ( S ) , x , y \\sim \\mathcal { D }$ \n165 The source distribution $\\mathcal { D }$ is simply the original distribution. To sample once from the Train Dis \n166 tribution ${ \\mathcal { D } } _ { \\mathrm { t r } }$ , we first sample a train set $S \\sim \\mathcal { D } ^ { n }$ , train a classifier $f$ on it, then output $( x _ { \\mathrm { t r } } , f ( x _ { \\mathrm { t r } } ) )$ \n167 for a random train point $x _ { \\mathrm { t r } } \\in S$ . That is, ${ \\mathcal { D } } _ { \\mathrm { t r } }$ is the distribution of input and outputs of a trained \n168 classifier $f$ on its train set. To sample once from the Test Distribution $\\mathcal { D } _ { \\mathrm { t e } }$ , we do this same proce \n169 dure, but output $( x , f ( x ) )$ for a random test point $x$ . That is, the $\\mathcal { D } _ { \\mathrm { t e } }$ is the distribution of input and \n170 outputs of a trained classifier $f$ at test time. The only difference between the Train Distribution and \n171 Test Distribution is that the point $x$ is sampled from the train set or the test set, respectively.2 For \n172 interpolating classifiers, $f ( x _ { \\mathrm { t r } } ) = y _ { \\mathrm { t r } }$ on the train set, and so the Source and Train distributions are \n173 equivalent: $\\mathcal { D } \\equiv \\mathcal { D } _ { \\mathrm { t r } }$ . (Note that these definitions, crucially, involve randomness from sampling the \n174 train set, training the classifier, and sampling a test point). ", + "bbox": [ + 150, + 702, + 826, + 744 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 210, + 756, + 717, + 816 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 827, + 826, + 912 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 89, + 825, + 147 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "175 3.2 Feature Calibration ", + "text_level": 1, + "bbox": [ + 142, + 162, + 352, + 178 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We now formally describe the Feature Calibration Conjecture. At a high level, we argue that the distributions $\\mathcal { D } _ { \\mathrm { t e } }$ and $\\mathcal { D }$ are statistically close for interpolating classifiers if we first “coarsen” the domain of $x$ by some partition $L : \\mathcal { X } [ M ]$ in to $M$ parts. That is, for certain partitions $L$ , the following distributions are statistically close: ", + "bbox": [ + 173, + 188, + 825, + 243 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/73ad1cc36f5ccd78657f3e36dc80566b728cbec16ce9a87978f5a28ac61ff32e.jpg", + "text": "$$\n( L ( x ) , f ( x ) ) _ { x \\sim \\mathcal { D } } \\approx _ { \\varepsilon } ( L ( x ) , y ) _ { x \\sim \\mathcal { D } }\n$$", + "text_format": "latex", + "bbox": [ + 380, + 246, + 617, + 263 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "176 We think of $L$ as defining subgroups over the domain— for example, $L ( x ) \\in \\{ \\deg , \\mathrm { c a t } , \\mathrm { h o r s e . } . . \\}$ . \n177 Then, the above statistical closeness is essentially equivalent to requiring that for all subgroups \n178 $\\ell \\in [ M ]$ , the conditional distribution of classifier output on the subgroup— $p ( f ( x ) | L ( x ) = \\bar { \\ell } )$ — is \n179 close to the true conditional distribution: $p ( y | L ( x ) = \\bar { \\ell } )$ ). \n180 The crux of our conjecture lies in defining exactly which subgroups $L$ satisfy this distributional \n181 closeness, and quantifying the $\\varepsilon$ approximation. This is subtle, since it must depend on almost all \n182 parameters of the problem. For example, consider a modification to Experiment 1, where we use \n183 a fully-connected network (MLP) instead of a ResNet. An MLP cannot properly distinguish cats \n184 even when it is actually provided the real CIFAR-10 labels, and so (informally) it has no hope of \n185 behaving differently on cats in the setting of Experiment 1, where the cats are not labeled explicitly \n186 (See Figure ${ \\bf C } . 2$ for results with MLPs). Similarly, if we train the ResNet with very few samples from \n187 the distribution, the network will be unable to recognize cats. Thus, the allowable partitions must \n188 depend on the classifier family and the training method, including the number of samples. \n189 We conjecture that allowable partitions are those which can themselves be learnt to good test \n190 performance with an identical training procedure, but trained with the labels of the partition $L$ instead \n191 of $y$ . To formalize this, we define a distinguishable feature: a partition of the domain $\\mathcal { X }$ that is \n192 learnable for a given training procedure. Thus, in Experiment $^ { 1 , }$ the partition into CIFAR-10 classes \n193 would be a distinguishable feature for ResNets (trained with SGD with 50K or more samples), but \n194 not for MLPs. The definition below depends on the training procedure $\\mathcal { A }$ , the data distribution $\\mathcal { D }$ \n195 number of train samples $n$ , and an approximation parameter $\\varepsilon$ (which we think of as $\\varepsilon \\approx 0$ ). ", + "bbox": [ + 140, + 265, + 825, + 323 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 327, + 825, + 453 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 458, + 825, + 556 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Definition 1 $( ( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )$ -Distinguishable Feature). For a distribution $\\mathcal { D }$ over $\\mathcal { X } \\times \\mathcal { V }$ , number of samples $n$ , training procedure $\\mathcal { A }$ , and small $\\varepsilon \\geq 0$ , an $( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )$ -distinguishable feature is $a$ partition $L : \\mathcal { X } [ M ]$ of the domain $\\mathcal { X }$ into $M$ parts, such that training a model using $\\mathcal { A }$ on $n$ samples labeled by $L$ works to classify $L$ with high test accuracy. Precisely, $L$ is a $( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )$ - distinguishable feature $i f$ : ", + "bbox": [ + 173, + 558, + 825, + 628 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/cf5184a6cd22e94117a563294a811f71d2223f946b074dbd6114b983a33d38dd.jpg", + "text": "$$\n\\begin{array} { c c } { { } } & { { \\mathrm { ~ P r ~ } } } & { { [ f ( x ) = L ( x ) ] \\geq 1 - \\varepsilon } } \\\\ { { } } & { { } } & { { \\nonumber } } \\\\ { { } } & { { \\nonumber } } & { { f \\mathrm { T r a i n } _ { \\cal A } ( S ) ; x { \\sim } \\mathcal { D } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 346, + 630, + 653, + 667 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "196 This definition depends only on the marginal distribution of $\\mathcal { D }$ on $x$ , and not on the label distribution \n197 $p _ { \\mathcal { D } } ( y | x )$ . To recap, this definition is meant to capture a labeling of the domain $\\mathcal { X }$ that is learnable for \n198 a given training procedure $\\mathcal { A }$ . It must depend on the architecture used by $\\mathcal { A }$ and number of samples \n199 $n$ , since more powerful classifiers can distinguish more features. Note that there could be many \n200 distinguishable features for a given setting $( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )$ — including features not implied by the class \n201 label such as the presence of grass in a CIFAR-10 image. Our main conjecture follows. \n202 Conjecture 1 (Feature Calibration). For all natural distributions $\\mathcal { D }$ , number of samples $n$ , interpo \n203 lating training procedures $A$ , and $\\varepsilon \\geq 0$ , the following distributions are statistically close for all \n204 $( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )$ -distinguishable features $L$ : ", + "bbox": [ + 140, + 675, + 825, + 761 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 762, + 825, + 804 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/2fafdfc7e6810dddcf70197c1ea0487ecdc2984c01cf48e85179e74ce005c0f7.jpg", + "text": "$$\n\\begin{array} { r l r l } { ( L ( x ) , f ( x ) ) } & { { } \\approx _ { \\varepsilon } } & { } & { { } ( L ( x ) , y ) } \\\\ { f \\gets \\mathrm { T r a i n } _ { \\cal A } ( \\mathscr { D } ^ { n } ) ; x , y { \\sim } \\mathscr { D } } & { } & { { } x , y { \\sim } \\mathscr { D } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 364, + 806, + 633, + 835 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/9337b569d19b5d2079a978686745e862ef18cc499c703e7615ad6d36e3469448.jpg", + "text": "$$\n\\begin{array} { r l r } { ( L ( x ) , \\widehat { y } ) } & { { } \\approx _ { \\varepsilon } } & { ( L ( x ) , y ) } \\\\ { _ { - } x , \\widehat { y } { \\sim } \\mathcal { D } _ { \\mathrm { t e } } } & { { } } & { x , y { \\sim } \\mathcal { D } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 403, + 854, + 593, + 883 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "206 This claims that the TV distance between the LHS and RHS of Equation $\\textcircled{4}$ is at most $\\varepsilon$ , where $\\varepsilon$ is the \n207 error of the distinguishable feature (in Definition $\\mathbb { D }$ . We claim that this holds for all distinguishable \n208 features $L$ “automatically” – we simply train a classifier, without specifying any particular partition. \n209 The formal statements of Definition $\\dot { 1 }$ and Conjecture $^ 1$ may seem somewhat arbitrary, involving \n210 many quantifiers over $( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )$ . However, we believe these statements are natural: In addition \n211 to extensive experimental evidence in Section $^ { 4 , }$ we also prove that Conjecture $^ 1$ is formally true as \n212 stated for 1-Nearest-Neighbor classifiers in Theorem 1. ", + "bbox": [ + 140, + 90, + 826, + 190 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "213 3.3 Feature Calibration for 1-Nearest-Neighbors ", + "text_level": 1, + "bbox": [ + 150, + 204, + 524, + 218 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "214 Here we prove that the 1-Nearest-Neighbor classifier formally satisfies Conjecture $^ { 1 , }$ under mild \n215 assumptions. We view this theorem as support for our (somewhat involved) formalism of Conjecture 1. \n216 Indeed, without Theorem 1 below, it is unclear if our statement of Conjecture 1 can ever be satisfied by \n217 any classifier, or if it is simply too strong to be true. This theorem applies generically to a wide class \n218 of distributions; the only assumption is a weak regularity condition: sampling the nearest-neighbor \n219 train point to a random test point should yield (close to) a uniformly random test point. \n220 Theorem 1. Let $\\mathcal { D }$ be a distribution over $\\mathcal { X } \\times \\mathcal { V } _ { : }$ , and let $n \\in \\mathbb N$ be the number of train samples. \n221 Assume the following regularity condition holds: Sampling the nearest-neighbor train point to a \n222 random test point yields (close to) a uniformly random test point. That is, suppose that for some \n223 small $\\delta \\geq 0$ , the distributions: $\\begin{array} { r l r } { \\{ \\mathrm { N N } _ { S } ( x ) \\} _ { S \\sim \\mathcal { D } ^ { n } } } & { { } \\approx _ { \\delta } } & { \\{ x \\} _ { x \\sim \\mathcal { D } } } \\end{array}$ . Then, Conjecture 1 holds. That is, \n224 for all $( \\varepsilon , \\mathrm { N N } , \\mathcal { D } , n )$ -distinguishable partitions $L$ , the following distributions are statistically close: ", + "bbox": [ + 143, + 229, + 825, + 313 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 147, + 315, + 825, + 392 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/f935ee166b7dd73882affa2afe669f9e3e6fc111a9a06cda682f2f38997df2b4.jpg", + "text": "$$\n\\begin{array} { r l } { \\{ ( y , L ( x ) ) \\} _ { x , y \\sim \\mathcal { D } } } & { { } \\approx _ { \\varepsilon + \\delta } \\quad \\{ ( \\mathrm { N N } _ { S } ^ { ( y ) } ( x ) , L ( x ) \\} _ { S \\sim \\mathcal { D } ^ { n } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 315, + 395, + 681, + 424 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The proof of Theorem $\\bigstar$ is straightforward, and provided in Appendix $\\overline { { \\mathbb { D } } } -$ but this strong property of nearest-neighbors was not know before, to our knowledge. ", + "bbox": [ + 168, + 433, + 823, + 462 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.4 Limitations: Natural Distributions ", + "text_level": 1, + "bbox": [ + 160, + 477, + 454, + 492 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Technically, Conjecture $\\bigtriangledown$ is not fully specified, since it does not specify exactly which classifiers or distributions obey the conjecture. We do not claim that all classifiers and distributions satisfy our conjectures. Nevertheless, we claim our conjectures hold in all “natural” settings, which informally means settings with real data and classifiers that are actually used in practice. The problem of understanding what separates “natural distributions” from artificial ones is not unique to our work, and lies at the heart of deep learning theory. Many theoretical works handle this by considering simplified distributional assumptions (e.g. smoothness, well-separatedness, gaussianity), which are mathematically tractable, but untested in practice [2, 4, 35]. In contrast, we do not make untestable mathematical assumptions. This benefit of realism comes at the cost of mathematical formalism. We hope that as the theory of deep learning evolves, we will better understand how to formalize the notion of “natural” in our conjectures. ", + "bbox": [ + 171, + 501, + 826, + 655 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "239 4 Experiments: Feature Calibration ", + "text_level": 1, + "bbox": [ + 142, + 672, + 490, + 690 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "240 We now give empirical evidence for our conjecture in a variety of settings in machine learning, \n241 including neural networks, kernel machines, and decision trees. In each experiment, we consider \n242 a feature that is (verifiably) distinguishable, and then test our Feature Calibration conjecture for \n243 this feature. Each of the experimental settings below highlights a different aspect of interpolating \n244 classifiers, which may be of independent interest. Selected experiments are summarized here, with \n245 full details and further experiments in Appendix C. ", + "bbox": [ + 147, + 704, + 825, + 789 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Constant Partition: Consider the trivially-distinguishable constant feature: $L ( x ) = 0$ everywhere. For this feature, Conjecture $^ 1$ reduces to the statement that the marginal distribution of class labels for any interpolating classifier is close to the true marginals $p ( y )$ . To test this, we construct a variant of CIFAR-10 with class-imbalance and train classifiers with varying levels of test errors to interpolation on it. As shown in Figure $2 \\mathrm { B }$ , the marginals of the classifier outputs are close to the true marginals, even for a classifier that only achieves $37 \\%$ test error. ", + "bbox": [ + 168, + 794, + 825, + 877 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "252 Coarse Partition: Consider AlexNet trained on ILSVRC-2012 ImageNet $\\begin{array} { r l } { { \\bigl [ \\bigl | \\boldsymbol { 5 } 6 \\bigr | \\bigr ] } } \\end{array}$ , a 1000-class image \n253 classification problem with 116 varieties of dogs. The network achieves only $56 . 5 \\%$ accuracy \n254 on the test set. But it will at least classify most dogs as dogs (with $9 8 . 4 \\%$ accuracy), making \n255 $L ( x ) \\in \\{ \\log , \\mathrm { n o t } \\mathrm { - d o g } \\}$ a distinguishable feature. Moreover, as predicted by Conjecture 1, the \n256 network is calibrated with respect to dogs: $2 2 . 4 \\%$ of all dogs in ImageNet are Terriers, and indeed \n257 the network classifies $2 0 . 9 \\%$ of all dogs as Terriers (though it has $9 \\%$ error on which specific dogs \n258 it classifies as Terriers). See Appendix Table $2$ for details, and related experiments on ResNets and \n259 kernels in Appendix C. \n260 Class Partition: We now consider settings where the class labels are themselves distinguishable \n261 features (eg: CIFAR-10 classes are distinguishable by ResNets). Here our conjecture predicts the \n262 behavior of interpolating classifiers under structured label noise. As an example, we generate a \n263 random spare confusion matrix and apply this to the labels of CIFAR-10 as shown in Figure $2 \\mathrm { A }$ . \n264 We find that a WideResNet trained to interpolation outputs the same confusion matrix on the test \n265 set as well (Figure $\\bigstar \\bigstar \\bigstar$ ). Now, to test that this phenomenon is indeed robust to the level of noise, we \n266 mislabel class $0 \\overline { { 1 } }$ with probability $p$ in the CIFAR-10 train set for varying levels of $p$ . We then \n267 observe $\\widehat { p } .$ , the fraction of samples mislabeled by this network from $0 1$ in the test set (Figure $3 \\mathsf { A }$ \n268 shows $p$ versus $\\widehat { p } \\big )$ ). The Bayes optimal classifier for this distribution behaves as a step function (in \n269 bred), and a classifier that obeys Conjecture 1 exactly would follow the diagonal (in green). The actual \n270 experiment (in blue) is close to the behavior predicted by Conjecture 1. This experiment shows a \n271 contrast with classical learning theory. While most existing theory focuses on whether classifiers \n272 converge to the Bayes optimal solution, we show that interpolating classifiers behave “optimally” in a \n273 different sense: they match the distribution of their train set. We discuss this further in Section 5. See \n274 Appendix C.4 for more experiments, including other classifiers such as Decisions Trees. \n275 Multiple features: Conjecture 1 states that the network should be automatically calibrated for \n276 all distinguishable features, without any explicit labels for them. To do this, we use the CelebA \n277 dataset $\\ [ \\overbrace { 3 7 } ]$ , containing images with many binary attributes per image. (“male”, “blond hair”, etc). \n78 We train a ResNet-50 to classify one of the hard attributes (accuracy $80 \\%$ ) and confirm that the \n279 Feature Calibration holds for all the other attributes (Figure $3 )$ that are themselves distinguishable. \n280 Quantitative predictions: We now test the quantitative predictions made by Conjecture $\\boxed { 1 }$ This \n281 conjecture states that the TV-distance between the joint distributions $( L ( x ) , f ( x ) )$ and $( \\overline { { \\cal L } } ( x ) , y )$ \n282 is at most $\\varepsilon$ , where $\\varepsilon$ is the error of the training procedure in learning $L$ (see Definition $\\blacktriangleleft$ . To \n283 test this, we consider binary task similar to Experiment $^ 1$ where (Ship, Plane) are labeled as \n284 class 0 and (Cat, Dog) are labeled as class 1, with $p = \\overline { { 0 . 3 } }$ fraction of cats mislabeled to class 0. \n285 Then, we train a convolutional network to interpolation on this task. To vary the error $\\varepsilon$ on these \n286 distinguishable features systematically, we train networks with varying number of train samples. \n287 Networks with fewer samples have larger $\\varepsilon$ since they are worse at classifying the distinguishable \n288 features of (Ship,Plane,Cat,Dog). Then, we use the same setup to train networks on the binary \n289 task and measure the TV-distance between $( L ( x ) , f ( x ) )$ and $( L ( x ) , y )$ in this task. The results are \n290 shown in Figure $\\textcircled { 3 } \\textcircled { C }$ . As predicted, the TV distance on the binary task is upper bounded by $\\varepsilon$ error on \n291 the 4-way classification task. ", + "bbox": [ + 147, + 882, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/6ff6f349cc56237c12e10b9449254ccf8182d950c2d49c7bf5f90d180bc78987.jpg", + "image_caption": [ + "Figure 2: Feature Calibration. (A) Random confusion matrix on CIFAR-10, with a WideResNet28- 10 trained to interpolation. Left: Joint density of labels $y$ and original class $L$ on the train set. Right: Joint density of classifier predictions $f ( x )$ and original class $L$ on the test set. These two joint densities are close, as predicted by Conjecture 1. $\\mathbf { ( B ) }$ Constant partition: The CIFAR-10 train set is class-rebalanced according to the left panel distribution. The center and right panels show that both ResNets and MLPs have the correct marginal distribution of outputs, even though the MLP has high test error. " + ], + "image_footnote": [], + "bbox": [ + 209, + 90, + 779, + 185 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/351b3d01446a41281fb1f6bfd070bfaac6e6ab5323b60b36975e762dea5c4603.jpg", + "image_caption": [ + "Figure 3: Feature Calibration. (A) CIFAR-10 with $p$ fraction of class $0 1$ mislabeled on the train set. Plotting observed noise on classifier outputs vs. applied noise on the train set. $\\mathbf { ( B ) }$ Multiple feature calibration on CelebA. (C) TV-distance between $( \\bar { L } \\bar { ( } x ) , f ( x ) )$ and $( L ( x ) , y )$ for a variant of Experiment $\\bigtriangledown$ with error on the distinguishable partitions $( \\varepsilon )$ . The error was changed by changing the number of samples $n$ . " + ], + "image_footnote": [], + "bbox": [ + 210, + 313, + 787, + 453 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 143, + 566, + 825, + 651 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 140, + 656, + 825, + 863 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 142, + 869, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 150, + 90, + 825, + 121 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 138, + 126, + 826, + 291 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "92 5 Distributional Generalization ", + "text_level": 1, + "bbox": [ + 156, + 309, + 450, + 327 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In order to relate our results to the classical theory of generalization, we now propose a formal notion of “Distributional Generalization”, which subsumes both Feature Calibration and classical generalization. In fact, we will also give preliminary evidence that this new notion can apply even for non-interpolating methods, unlike Feature Calibration. ", + "bbox": [ + 174, + 340, + 825, + 396 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "7 A trained model $f$ obeys classical generalization (with respect to test error) if its error on the train set \n98 is close to its error on the test distribution. We first rewrite this using our definitions below. ", + "bbox": [ + 156, + 402, + 823, + 431 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Classical Generalization (informal): Let $f$ be a trained classifier. Then $f$ generalizes if: ", + "bbox": [ + 160, + 436, + 758, + 452 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/54a5012c2b435ed0d4ad3eb4c466b3b5d9adc6665c70f6888112cc055d0c6a82.jpg", + "text": "$$\n\\begin{array} { r } { \\underset { x \\sim T r a i n S e t } { \\mathbb { E } } [ \\mathbb { 1 } \\{ \\widehat { y } \\neq y ( x ) \\} ] \\approx \\underset { \\stackrel { x \\sim T e s t S e t } { \\widehat { y } f ( x ) } } { \\mathbb { E } } [ \\mathbb { 1 } \\{ \\widehat { y } \\neq y ( x ) \\} ] } \\\\ { \\quad \\widehat { y } f ( x ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 334, + 453, + 661, + 487 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "300 Above, $y ( x )$ is the true class of $x$ and $\\widehat { y }$ is the predicted class. The LHS of Equation $\\textcircled{6}$ is the train \n301 error of $f$ , and the RHS is the test error. Using our definitions of $\\mathcal { D } _ { \\mathrm { t r } } , \\mathcal { D } _ { \\mathrm { t e } }$ from Section $\\boxed { 3 . 1 }$ and \n302 defining $T _ { \\mathrm { e r r } } ( x , \\widehat { y } ) : = \\mathbb { 1 } \\{ \\widehat { y } \\neq y ( x ) \\}$ , we can write Equation $6$ equivalently: ", + "bbox": [ + 143, + 489, + 830, + 534 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/aa2d8c0fd124904f481a8d58373e6ae12f906af7bea6f480884bf6dc0f26afce.jpg", + "text": "$$\n\\underset { x , \\widehat { y } \\sim \\mathcal { D } _ { \\mathrm { t r } } } { \\mathbb { E } } [ T _ { \\mathrm { e r r } } ( x , \\widehat { y } ) ] \\approx \\underset { x , \\widehat { y } \\sim \\mathcal { D } _ { \\mathrm { t e } } } { \\mathbb { E } } [ T _ { \\mathrm { e r r } } ( x , \\widehat { y } ) ]\n$$", + "text_format": "latex", + "bbox": [ + 366, + 535, + 630, + 560 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "303 That is, classical generalization states that a certain function $T _ { \\mathrm { e r r } } )$ has similar expectations on both the \n304 Train Distribution ${ \\mathcal { D } } _ { \\mathrm { t r } }$ and Test Distribution $\\mathcal { D } _ { \\mathrm { t e } }$ . We can now introduce Distributional Generalization, \n305 which is a property of trained classifiers. It is parameterized by a set of bounded functions (“tests”): \n306 ${ \\mathcal { T } } \\subseteq \\{ T : { \\dot { \\mathcal { X } } } \\times { \\dot { \\mathcal { y } } } \\} \\to [ 0 , 1 ] \\}$ . \n307 Distributional Generalization: Let $f$ be a trained classifier. Then $f$ satisfies Distributional Gener \n308 alization with respect to tests $\\tau$ if: ", + "bbox": [ + 142, + 561, + 826, + 619 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 151, + 623, + 828, + 652 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/d827ea832926243730d2cd9fc8593745ab0ac4f8b531fce315776bf6a2b7038c.jpg", + "text": "$$\n\\forall T \\in { \\mathcal { T } } : \\quad \\underset { x , \\widehat { y } \\sim \\mathcal { D } _ { \\mathrm { t r } } } { \\mathbb { E } } [ T ( x , \\widehat { y } ) ] \\approx \\underset { x , \\widehat { y } \\sim \\mathcal { D } _ { \\mathrm { t e } } } { \\mathbb { E } } [ T ( x , \\widehat { y } ) ]\n$$", + "text_format": "latex", + "bbox": [ + 338, + 654, + 663, + 680 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "309 ", + "bbox": [ + 142, + 676, + 160, + 686 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "310 This states that the train and test distribution have similar expectations for all functions in the family \n311 $\\tau$ , which we can write as: $\\mathcal { D } _ { \\mathrm { t r } } \\approx ^ { \\mathcal { T } } \\ \\mathcal { D } _ { \\mathrm { t e } }$ . For the singleton set $\\mathcal { T } = \\{ T _ { \\mathrm { e r r } } \\}$ , this is equivalent to \n312 classical generalization, but it may hold for much larger sets $\\tau$ . This definition of Distributional \n313 Generalization, like the definition of classical generalization, is just defining an object— not stating \n314 when or how it is satisfied. Feature Calibration turns this into a concrete conjecture. ", + "bbox": [ + 140, + 694, + 825, + 763 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "15 5.1 Feature Calibration as Distributional Generalization ", + "text_level": 1, + "bbox": [ + 156, + 779, + 580, + 794 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We can write our Feature Calibration Conjecture as a special case of Distributional Generalization, for a certain family of tests $\\tau$ . Informally, for a given setting, the family $\\tau$ is all tests which take input $( x , y )$ , but only depend on $x$ via a distinguishable feature (Definition $^ { 1 ) }$ . For example, a test of the form $T ( x , y ) \\dot { = } g \\bar { ( } L ( x ) , y )$ where $L$ is a distinguishable feature, and $g$ is arbitrary. Formally, for a given problem setting, suppose $\\mathcal { L }$ is the set of $( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )$ -distinguishable features. Then Conjecture $\\bar { 1 }$ states that $\\forall L \\in \\mathcal { L } : ( L ( x ) , f ( x ) ) \\approx _ { \\varepsilon } ( L ( x ) , y )$ . This is equivalent to the statement ", + "bbox": [ + 158, + 803, + 825, + 888 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/a396b41a4608efc042892635c0b08b4f883a46a8e9bc40e606fe79333fc6100d.jpg", + "text": "$$\n\\mathcal { D } _ { \\mathrm { t e } } \\approx _ { \\varepsilon } ^ { T } \\mathcal { D }\n$$", + "text_format": "latex", + "bbox": [ + 462, + 890, + 535, + 909 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/d5260b32140f48e31ae50f7a04c4cbecb56357865c0ece09591403361bb9abd2.jpg", + "image_caption": [ + "Figure 4: Distributional Generalization for WideResNet on CIFAR-10. The confusion matrices on the train set (top row) and test set (bottom row) remain close throughout training. " + ], + "image_footnote": [], + "bbox": [ + 251, + 97, + 732, + 281 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "322 where $\\tau$ is the set of functions $\\mathcal T : = \\{ T : T ( x , y ) = g ( L ( x ) , y )$ , $L \\in \\mathcal { L } , g : \\mathcal { X } \\times \\mathcal { Y } [ 0 , 1 ] \\}$ . \n323 For interpolating classifiers, we have $\\mathcal { D } \\equiv \\mathcal { D } _ { \\mathrm { t r } }$ , and so Equation $\\textcircled { 9 }$ is equivalent to $\\mathcal { D } _ { \\mathrm { t e } } \\approx _ { \\varepsilon } ^ { \\mathcal { T } } \\mathcal { D } _ { \\mathrm { t r } }$ \n324 which is a statement of Distributional Generalization. Since any classifier family will contain a large \n325 number of distinguishable features, the set $\\mathcal { L }$ may be very large. Hence, the distributions ${ \\mathcal { D } } _ { \\mathrm { t r } }$ and $\\mathcal { D } _ { \\mathrm { t e } }$ \n326 can be thought of as being close as distributions. ", + "bbox": [ + 142, + 353, + 825, + 424 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.2 Beyond Interpolating Methods ", + "text_level": 1, + "bbox": [ + 173, + 439, + 426, + 455 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The previous sections have focused on interpolating classifiers, which fit their train sets exactly. Here we informally discuss how to extend our results beyond interpolating methods. The discussion in this section is not as precise as in previous sections, and is only meant to suggest that our abstraction of Distributional Generalization can be useful in other settings. ", + "bbox": [ + 174, + 465, + 825, + 521 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "For non-interpolating classifiers, we may still expect that they behave similarly on their test and train sets – that is, $\\mathcal { D } _ { \\mathrm { t e } } \\approx ^ { \\tau } \\mathcal { D } _ { \\mathrm { t r } }$ for some family of tests $\\tau$ . For example, the following is a possible generalization of Feature Calibration to non-interpolating methods. ", + "bbox": [ + 169, + 526, + 821, + 569 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "335 Conjecture 2 (Generalized Feature Calibration, informal). For trained classifiers $f _ { i }$ , the following \n336 distributions are statistically close for many partitions $L$ of the domain: ", + "bbox": [ + 147, + 573, + 825, + 602 + ], + "page_idx": 8 + }, + { + "type": "equation", + "img_path": "images/8b4b57ed6cbeb269c5f669257d04cddf719035055ae5dfe618713710eac0c073.jpg", + "text": "$$\n\\begin{array} { r l r } { ( L ( x ) , \\widehat { y } ) } & { { } \\approx } & { ( L ( x ) , \\widehat { y } ) } \\\\ { x , \\widehat { y } \\sim \\mathcal { D } _ { \\mathrm { t e } } } & { { } } & { x , \\widehat { y } \\sim \\mathcal { D } _ { \\mathrm { t r } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 408, + 608, + 589, + 637 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "337 We leave unspecified the exact set of partitions $L$ for which this holds, since we do not yet understand \n338 the appropriate notion of “distinguishable feature” in this setting. However, we give experimental \n339 evidence suggesting some refinement of Conjecture $2$ is true. In Figure $^ { 4 , }$ we apply label noise from \n340 a random sparse confusion to the CIFAR-10 train set. We then train a single WideResNet28-10, and \n341 measure its predictions on the train and test sets over increasing train time (SGD steps). The top row \n342 shows the confusion matrix of predictions $f ( x )$ vs true labels $L ( x )$ on the train set, and the bottom \n343 row shows the corresponding confusion matrix on the test set. As the network is trained for longer, it \n344 fits more of the noise on the train set, and this noise is mirrored almost identically on the test set. Full \n345 experimental details, and an analogous experiment for kernels, are given in Appendix B. ", + "bbox": [ + 140, + 650, + 825, + 776 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "346 6 Conclusion ", + "text_level": 1, + "bbox": [ + 150, + 795, + 299, + 811 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "347 This work initiates the study of a new kind of generalization— Distributional Generalization— which \n348 considers the entire input-output behavior of classifiers, instead of just their test error. We presented \n349 both new empirical behaviors, and new formal conjectures which characterize these behaviors. \n350 Roughly, our conjecture states that the outputs of classifiers on the test set are “close in distribution” \n351 to their outputs on the train set. These results build a deeper understanding of models used in practice, \n352 and we hope our results inspire further work on distributional generalization in machine learning. 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That is, the distribution", + "type": "text" + }, + { + "bbox": [ + 281, + 514, + 319, + 526 + ], + "score": 0.92, + "content": "( x , f ( { \\overset { \\cdot } { x } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 514, + 453, + 527 + ], + "score": 1.0, + "content": "for samples from the distribution", + "type": "text" + }, + { + "bbox": [ + 454, + 514, + 483, + 524 + ], + "score": 0.91, + "content": "x \\sim D", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "for a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 89, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 89, + 527, + 99, + 537 + ], + "score": 1.0, + "content": "21", + "type": "text" + }, + { + "bbox": [ + 105, + 525, + 144, + 538 + ], + "score": 1.0, + "content": "classifier", + "type": "text" + }, + { + "bbox": [ + 144, + 525, + 164, + 537 + ], + "score": 0.91, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 525, + 506, + 538 + ], + "score": 1.0, + "content": ". 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As an example, consider the following experiment (Figure 1).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 89, + 560, + 505, + 615 + ], + "lines": [ + { + "bbox": [ + 89, + 559, + 504, + 573 + ], + "spans": [ + { + "bbox": [ + 89, + 562, + 100, + 572 + ], + "score": 1.0, + "content": "24", + "type": "text" + }, + { + "bbox": [ + 105, + 559, + 496, + 573 + ], + "score": 1.0, + "content": "Experiment 1. Consider a binary classification version of CIFAR-10, where CIFAR-10 images", + "type": "text" + }, + { + "bbox": [ + 497, + 563, + 504, + 570 + ], + "score": 0.39, + "content": "x", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 89, + 571, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 89, + 573, + 100, + 583 + ], + "score": 1.0, + "content": "25", + "type": "text" + }, + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "score": 1.0, + "content": "have binary labels Animal/Object. 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However, there could be many different classifiers with the same test error", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 90, + 483, + 99, + 493 + ], + "score": 1.0, + "content": "17", + "type": "text" + }, + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "that differ substantially in, say, the subgroups of inputs on which they make errors or in the features", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 90, + 495, + 100, + 504 + ], + "score": 1.0, + "content": "18", + "type": "text" + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "they use to attain this performance. Reducing classifiers to a single number misses these rich aspects", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 89, + 505, + 100, + 515 + ], + "score": 1.0, + "content": "19", + "type": "text" + }, + { + "bbox": [ + 104, + 502, + 506, + 516 + ], + "score": 1.0, + "content": "of their behavior. In this work, we propose formally studying the entire joint distribution of classifier", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 89, + 516, + 100, + 526 + ], + "score": 1.0, + "content": "20", + "type": "text" + }, + { + "bbox": [ + 105, + 514, + 281, + 527 + ], + "score": 1.0, + "content": "inputs and outputs. That is, the distribution", + "type": "text" + }, + { + "bbox": [ + 281, + 514, + 319, + 526 + ], + "score": 0.92, + "content": "( x , f ( { \\overset { \\cdot } { x } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 514, + 453, + 527 + ], + "score": 1.0, + "content": "for samples from the distribution", + "type": "text" + }, + { + "bbox": [ + 454, + 514, + 483, + 524 + ], + "score": 0.91, + "content": "x \\sim D", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "for a", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 89, + 527, + 99, + 537 + ], + "score": 1.0, + "content": "21", + "type": "text" + }, + { + "bbox": [ + 105, + 525, + 144, + 538 + ], + "score": 1.0, + "content": "classifier", + "type": "text" + }, + { + "bbox": [ + 144, + 525, + 164, + 537 + ], + "score": 0.91, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 525, + 506, + 538 + ], + "score": 1.0, + "content": ". This distribution reveals many structural properties of the classifier beyond test error", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 536, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 89, + 538, + 100, + 548 + ], + "score": 1.0, + "content": "22", + "type": "text" + }, + { + "bbox": [ + 105, + 536, + 505, + 548 + ], + "score": 1.0, + "content": "(such as where the errors occur). In fact, we discover new behaviors of modern classifiers that can", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 546, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 89, + 549, + 100, + 558 + ], + "score": 1.0, + "content": "23", + "type": "text" + }, + { + "bbox": [ + 105, + 546, + 505, + 560 + ], + "score": 1.0, + "content": "only be understood in this framework. As an example, consider the following experiment (Figure 1).", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 559, + 504, + 573 + ], + "spans": [ + { + "bbox": [ + 89, + 562, + 100, + 572 + ], + "score": 1.0, + "content": "24", + "type": "text" + }, + { + "bbox": [ + 105, + 559, + 496, + 573 + ], + "score": 1.0, + "content": "Experiment 1. Consider a binary classification version of CIFAR-10, where CIFAR-10 images", + "type": "text" + }, + { + "bbox": [ + 497, + 563, + 504, + 570 + ], + "score": 0.39, + "content": "x", + "type": "inline_equation" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 571, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 89, + 573, + 100, + 583 + ], + "score": 1.0, + "content": "25", + "type": "text" + }, + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "score": 1.0, + "content": "have binary labels Animal/Object. Take 50K samples from this distribution as a train set, but", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 89, + 584, + 99, + 594 + ], + "score": 1.0, + "content": "26", + "type": "text" + }, + { + "bbox": [ + 105, + 582, + 436, + 595 + ], + "score": 1.0, + "content": "apply the following label noise: flip the label of cats to Object with probability", + "type": "text" + }, + { + "bbox": [ + 436, + 582, + 456, + 593 + ], + "score": 0.8, + "content": "30 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 582, + 506, + 595 + ], + "score": 1.0, + "content": ". Now train", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 593, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 88, + 596, + 100, + 605 + ], + "score": 1.0, + "content": "27", + "type": "text" + }, + { + "bbox": [ + 104, + 593, + 166, + 606 + ], + "score": 1.0, + "content": "a WideResNet", + "type": "text" + }, + { + "bbox": [ + 167, + 594, + 174, + 605 + ], + "score": 0.8, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 593, + 506, + 606 + ], + "score": 1.0, + "content": "to 0 train error on this train set. How does the trained classifier behave on test", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 604, + 210, + 617 + ], + "spans": [ + { + "bbox": [ + 89, + 606, + 100, + 616 + ], + "score": 1.0, + "content": "28", + "type": "text" + }, + { + "bbox": [ + 104, + 604, + 210, + 617 + ], + "score": 1.0, + "content": "samples? Options below:", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + } + ], + "index": 25, + "bbox_fs": [ + 89, + 460, + 506, + 560 + ] + }, + { + "type": "index", + "bbox": [ + 89, + 560, + 505, + 615 + ], + "lines": [], + "index": 32, + "bbox_fs": [ + 88, + 559, + 506, + 617 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 96, + 623, + 501, + 635 + ], + "lines": [ + { + "bbox": [ + 91, + 622, + 503, + 636 + ], + "spans": [ + { + "bbox": [ + 91, + 622, + 349, + 636 + ], + "score": 1.0, + "content": "29 (1) The test error is low across all classes, since there is only", + "type": "text" + }, + { + "bbox": [ + 350, + 623, + 365, + 633 + ], + "score": 0.84, + "content": "3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 622, + 503, + 636 + ], + "score": 1.0, + "content": "overall label noise in the train set.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35, + "bbox_fs": [ + 91, + 622, + 503, + 636 + ] + }, + { + "type": "index", + "bbox": [ + 95, + 639, + 504, + 662 + ], + "lines": [ + { + "bbox": [ + 92, + 638, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 92, + 638, + 506, + 653 + ], + "score": 1.0, + "content": "30 (2) Test error is “spread” across the animal class. After all, the classifier is not explicitly told what a", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 92, + 651, + 284, + 662 + ], + "spans": [ + { + "bbox": [ + 92, + 651, + 284, + 662 + ], + "score": 1.0, + "content": "31 cat or a dog is, just that they are all animals.", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 664, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 90, + 664, + 261, + 680 + ], + "score": 1.0, + "content": "32 (3) The classifier misclassifies roughly", + "type": "text" + }, + { + "bbox": [ + 261, + 667, + 280, + 677 + ], + "score": 0.85, + "content": "30 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 664, + 505, + 680 + ], + "score": 1.0, + "content": "of test cats as “objects”, but all other animals are largely", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 677, + 153, + 690 + ], + "spans": [ + { + "bbox": [ + 90, + 677, + 153, + 690 + ], + "score": 1.0, + "content": "33 unaffected.", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 693, + 506, + 707 + ], + "spans": [ + { + "bbox": [ + 88, + 696, + 102, + 706 + ], + "score": 1.0, + "content": "34", + "type": "text" + }, + { + "bbox": [ + 104, + 693, + 325, + 707 + ], + "score": 1.0, + "content": "The reality is closest to option (3) as shown in Figure", + "type": "text" + }, + { + "bbox": [ + 326, + 694, + 336, + 707 + ], + "score": 0.62, + "content": "\\mathbb { \\underline { { \\Pi } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 693, + 506, + 707 + ], + "score": 1.0, + "content": "The left panel shows the joint density of", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 704, + 505, + 717 + ], + "spans": [ + { + "bbox": [ + 88, + 704, + 155, + 717 + ], + "score": 1.0, + "content": "35 train inputs", + "type": "text" + }, + { + "bbox": [ + 155, + 707, + 162, + 715 + ], + "score": 0.73, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 704, + 505, + 717 + ], + "score": 1.0, + "content": "with train labels Object/Animal. Since the classifier is interpolating, the classifier", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 72, + 506, + 86 + ], + "spans": [ + { + "bbox": [ + 86, + 72, + 506, + 86 + ], + "score": 1.0, + "content": "36 outputs on the train set are identical to the left panel. The right panel shows the classifier predictions", + "type": "text", + "cross_page": true + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 83, + 195, + 96 + ], + "spans": [ + { + "bbox": [ + 88, + 84, + 106, + 96 + ], + "score": 1.0, + "content": "37", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 107, + 83, + 127, + 96 + ], + "score": 0.9, + "content": "f ( \\bar { x } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 127, + 84, + 184, + 96 + ], + "score": 1.0, + "content": "on test inputs", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 184, + 86, + 191, + 93 + ], + "score": 0.65, + "content": "x", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 191, + 84, + 195, + 96 + ], + "score": 1.0, + "content": ".", + "type": "text", + "cross_page": true + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 222, + 506, + 235 + ], + "spans": [ + { + "bbox": [ + 88, + 225, + 99, + 234 + ], + "score": 1.0, + "content": "38", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 222, + 506, + 235 + ], + "score": 1.0, + "content": "There are several notable things about this experiment. First, the error is localized to cats in the test", + "type": "text", + "cross_page": true + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 88, + 236, + 99, + 245 + ], + "score": 1.0, + "content": "39", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "set as it was in the train set, even though no explicit cat labels were provided. The interpolating", + "type": "text", + "cross_page": true + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 245, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 88, + 246, + 99, + 255 + ], + "score": 1.0, + "content": "40", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 245, + 505, + 257 + ], + "score": 1.0, + "content": "model is thus sensitive to subgroup-structures in the distribution. Second, the amount of error on", + "type": "text", + "cross_page": true + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 256, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 88, + 258, + 99, + 267 + ], + "score": 1.0, + "content": "41", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 256, + 505, + 267 + ], + "score": 1.0, + "content": "the cat class is close to the noise applied on the train set. Thus, the behavior of the classifier on the", + "type": "text", + "cross_page": true + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 266, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 88, + 268, + 100, + 279 + ], + "score": 1.0, + "content": "42", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 266, + 505, + 279 + ], + "score": 1.0, + "content": "train set generalizes to the test set in a stronger sense than just average error. Specifically, when", + "type": "text", + "cross_page": true + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 277, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 88, + 279, + 100, + 289 + ], + "score": 1.0, + "content": "43", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 277, + 506, + 289 + ], + "score": 1.0, + "content": "conditioned on a subgroup (cat), the distribution of the true labels is close to that of the classifier", + "type": "text", + "cross_page": true + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 288, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 88, + 291, + 100, + 300 + ], + "score": 1.0, + "content": "44", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 288, + 506, + 301 + ], + "score": 1.0, + "content": "outputs. Third, this is not the behavior of the Bayes-optimal classifier, which would always output", + "type": "text", + "cross_page": true + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 300, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 88, + 302, + 99, + 311 + ], + "score": 1.0, + "content": "45", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 300, + 506, + 311 + ], + "score": 1.0, + "content": "the maximum-likelihood label instead of reproducing the noise in the distribution. The network", + "type": "text", + "cross_page": true + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 311, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 88, + 312, + 100, + 321 + ], + "score": 1.0, + "content": "46", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 311, + 505, + 322 + ], + "score": 1.0, + "content": "is thus behaving poorly from the perspective of Bayes-optimality, but behaving well in a certain", + "type": "text", + "cross_page": true + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 320, + 316, + 333 + ], + "spans": [ + { + "bbox": [ + 89, + 323, + 100, + 332 + ], + "score": 1.0, + "content": "47", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 320, + 316, + 333 + ], + "score": 1.0, + "content": "distributional sense (which we will formalize soon).", + "type": "text", + "cross_page": true + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 338, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 89, + 339, + 99, + 348 + ], + "score": 1.0, + "content": "48", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 338, + 506, + 349 + ], + "score": 1.0, + "content": "Now, consider a seemingly unrelated experimental observation. Take an AlexNet trained on ImageNet,", + "type": "text", + "cross_page": true + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 348, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 88, + 351, + 99, + 360 + ], + "score": 1.0, + "content": "49", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 348, + 459, + 360 + ], + "score": 1.0, + "content": "a 1000-way classification problem with 116 varieties of dogs. AlexNet only achieves", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 459, + 348, + 487, + 359 + ], + "score": 0.87, + "content": "56 . 5 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 487, + 348, + 506, + 360 + ], + "score": 1.0, + "content": "test", + "type": "text", + "cross_page": true + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 358, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 89, + 362, + 99, + 371 + ], + "score": 1.0, + "content": "50", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 358, + 477, + 372 + ], + "score": 1.0, + "content": "accuracy on ImageNet. However, it at least classifies most dogs as some variety of dog (with", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 478, + 360, + 505, + 370 + ], + "score": 0.87, + "content": "9 8 . 4 \\%", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 370, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 88, + 373, + 99, + 382 + ], + "score": 1.0, + "content": "51", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 370, + 506, + 383 + ], + "score": 1.0, + "content": "accuracy), though it may mistake the exact breed. In this work, we show that both of these experiments", + "type": "text", + "cross_page": true + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 88, + 383, + 99, + 392 + ], + "score": 1.0, + "content": "52", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "are examples of the same underlying phenomenon. We empirically show that for an interpolating", + "type": "text", + "cross_page": true + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 392, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 88, + 393, + 100, + 404 + ], + "score": 1.0, + "content": "53", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 392, + 505, + 403 + ], + "score": 1.0, + "content": "classifier, its classification outputs are close in distribution to the true labels — even when conditioned", + "type": "text", + "cross_page": true + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 88, + 405, + 99, + 414 + ], + "score": 1.0, + "content": "54", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 402, + 406, + 415 + ], + "score": 1.0, + "content": "on many subsets of the domain. For example, in Figure 1, the distribution of", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 406, + 403, + 471, + 415 + ], + "score": 0.9, + "content": "p ( f ( x ) | x = \\mathrm { c a t } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 472, + 402, + 506, + 415 + ], + "score": 1.0, + "content": "is close", + "type": "text", + "cross_page": true + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 414, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 88, + 416, + 99, + 425 + ], + "score": 1.0, + "content": "55", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 414, + 230, + 426 + ], + "score": 1.0, + "content": "to the true label distribution of", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 231, + 414, + 282, + 426 + ], + "score": 0.89, + "content": "p ( y | x = \\mathrm { c a t } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 283, + 414, + 505, + 426 + ], + "score": 1.0, + "content": ". We propose a formal conjecture (Feature Calibration),", + "type": "text", + "cross_page": true + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 425, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 89, + 426, + 99, + 436 + ], + "score": 1.0, + "content": "56", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 425, + 505, + 436 + ], + "score": 1.0, + "content": "that predicts which subgroups of the domain can be conditioned on for the above distributional", + "type": "text", + "cross_page": true + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 436, + 179, + 447 + ], + "spans": [ + { + "bbox": [ + 88, + 438, + 100, + 447 + ], + "score": 1.0, + "content": "57", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 436, + 179, + 447 + ], + "score": 1.0, + "content": "closeness to hold.", + "type": "text", + "cross_page": true + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 450, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 89, + 454, + 100, + 463 + ], + "score": 1.0, + "content": "58", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 450, + 506, + 465 + ], + "score": 1.0, + "content": "These experimental behaviors could not have been captured solely by looking at average test error,", + "type": "text", + "cross_page": true + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 463, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 90, + 466, + 100, + 474 + ], + "score": 1.0, + "content": "59", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 463, + 506, + 475 + ], + "score": 1.0, + "content": "as is done in the classical theory of generalization. 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The CIFAR-10 train set is labeled as either Animals", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 187, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 199 + ], + "score": 1.0, + "content": "or Objects, with label noise affecting only cats. A WideResNet-28-10 is then trained to 0 train error", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 197, + 462, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 462, + 212 + ], + "score": 1.0, + "content": "on this train set, and evaluated on the test set. Full experimental details in Appendix C.2", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 89, + 223, + 505, + 332 + ], + "lines": [ + { + "bbox": [ + 88, + 222, + 506, + 235 + ], + "spans": [ + { + "bbox": [ + 88, + 225, + 99, + 234 + ], + "score": 1.0, + "content": "38", + "type": "text" + }, + { + "bbox": [ + 105, + 222, + 506, + 235 + ], + "score": 1.0, + "content": "There are several notable things about this experiment. First, the error is localized to cats in the test", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 88, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 88, + 236, + 99, + 245 + ], + "score": 1.0, + "content": "39", + "type": "text" + }, + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "set as it was in the train set, even though no explicit cat labels were provided. 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Third, this is not the behavior of the Bayes-optimal classifier, which would always output", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 88, + 300, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 88, + 302, + 99, + 311 + ], + "score": 1.0, + "content": "45", + "type": "text" + }, + { + "bbox": [ + 105, + 300, + 506, + 311 + ], + "score": 1.0, + "content": "the maximum-likelihood label instead of reproducing the noise in the distribution. The network", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 88, + 311, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 88, + 312, + 100, + 321 + ], + "score": 1.0, + "content": "46", + "type": "text" + }, + { + "bbox": [ + 105, + 311, + 505, + 322 + ], + "score": 1.0, + "content": "is thus behaving poorly from the perspective of Bayes-optimality, but behaving well in a certain", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 89, + 320, + 316, + 333 + ], + "spans": [ + { + "bbox": [ + 89, + 323, + 100, + 332 + ], + "score": 1.0, + "content": "47", + "type": "text" + }, + { + "bbox": [ + 105, + 320, + 316, + 333 + ], + "score": 1.0, + "content": "distributional sense (which we will formalize soon).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 89, + 337, + 505, + 447 + ], + "lines": [ + { + "bbox": [ + 89, + 338, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 89, + 339, + 99, + 348 + ], + "score": 1.0, + "content": "48", + "type": "text" + }, + { + "bbox": [ + 106, + 338, + 506, + 349 + ], + "score": 1.0, + "content": "Now, consider a seemingly unrelated experimental observation. Take an AlexNet trained on ImageNet,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 88, + 348, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 88, + 351, + 99, + 360 + ], + "score": 1.0, + "content": "49", + "type": "text" + }, + { + "bbox": [ + 105, + 348, + 459, + 360 + ], + "score": 1.0, + "content": "a 1000-way classification problem with 116 varieties of dogs. AlexNet only achieves", + "type": "text" + }, + { + "bbox": [ + 459, + 348, + 487, + 359 + ], + "score": 0.87, + "content": "56 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 348, + 506, + 360 + ], + "score": 1.0, + "content": "test", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 89, + 358, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 89, + 362, + 99, + 371 + ], + "score": 1.0, + "content": "50", + "type": "text" + }, + { + "bbox": [ + 105, + 358, + 477, + 372 + ], + "score": 1.0, + "content": "accuracy on ImageNet. However, it at least classifies most dogs as some variety of dog (with", + "type": "text" + }, + { + "bbox": [ + 478, + 360, + 505, + 370 + ], + "score": 0.87, + "content": "9 8 . 4 \\%", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 88, + 370, + 506, + 383 + ], + "spans": [ + { + "bbox": [ + 88, + 373, + 99, + 382 + ], + "score": 1.0, + "content": "51", + "type": "text" + }, + { + "bbox": [ + 105, + 370, + 506, + 383 + ], + "score": 1.0, + "content": "accuracy), though it may mistake the exact breed. In this work, we show that both of these experiments", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 88, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 88, + 383, + 99, + 392 + ], + "score": 1.0, + "content": "52", + "type": "text" + }, + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "are examples of the same underlying phenomenon. We empirically show that for an interpolating", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 88, + 392, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 88, + 393, + 100, + 404 + ], + "score": 1.0, + "content": "53", + "type": "text" + }, + { + "bbox": [ + 106, + 392, + 505, + 403 + ], + "score": 1.0, + "content": "classifier, its classification outputs are close in distribution to the true labels — even when conditioned", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 88, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 88, + 405, + 99, + 414 + ], + "score": 1.0, + "content": "54", + "type": "text" + }, + { + "bbox": [ + 105, + 402, + 406, + 415 + ], + "score": 1.0, + "content": "on many subsets of the domain. For example, in Figure 1, the distribution of", + "type": "text" + }, + { + "bbox": [ + 406, + 403, + 471, + 415 + ], + "score": 0.9, + "content": "p ( f ( x ) | x = \\mathrm { c a t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 402, + 506, + 415 + ], + "score": 1.0, + "content": "is close", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 88, + 414, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 88, + 416, + 99, + 425 + ], + "score": 1.0, + "content": "55", + "type": "text" + }, + { + "bbox": [ + 105, + 414, + 230, + 426 + ], + "score": 1.0, + "content": "to the true label distribution of", + "type": "text" + }, + { + "bbox": [ + 231, + 414, + 282, + 426 + ], + "score": 0.89, + "content": "p ( y | x = \\mathrm { c a t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 414, + 505, + 426 + ], + "score": 1.0, + "content": ". We propose a formal conjecture (Feature Calibration),", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 89, + 425, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 89, + 426, + 99, + 436 + ], + "score": 1.0, + "content": "56", + "type": "text" + }, + { + "bbox": [ + 106, + 425, + 505, + 436 + ], + "score": 1.0, + "content": "that predicts which subgroups of the domain can be conditioned on for the above distributional", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 88, + 436, + 179, + 447 + ], + "spans": [ + { + "bbox": [ + 88, + 438, + 100, + 447 + ], + "score": 1.0, + "content": "57", + "type": "text" + }, + { + "bbox": [ + 105, + 436, + 179, + 447 + ], + "score": 1.0, + "content": "closeness to hold.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 91, + 452, + 506, + 485 + ], + "lines": [ + { + "bbox": [ + 89, + 450, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 89, + 454, + 100, + 463 + ], + "score": 1.0, + "content": "58", + "type": "text" + }, + { + "bbox": [ + 104, + 450, + 506, + 465 + ], + "score": 1.0, + "content": "These experimental behaviors could not have been captured solely by looking at average test error,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 90, + 463, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 90, + 466, + 100, + 474 + ], + "score": 1.0, + "content": "59", + "type": "text" + }, + { + "bbox": [ + 105, + 463, + 506, + 475 + ], + "score": 1.0, + "content": "as is done in the classical theory of generalization. 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Roughly, Feature Calibration says that the outputs of classifiers", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 141, + 95, + 495, + 106 + ], + "spans": [ + { + "bbox": [ + 141, + 95, + 495, + 106 + ], + "score": 1.0, + "content": "match the statistics of their training distribution when conditioned on certain subgroups.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 132, + 109, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 132, + 109, + 183, + 123 + ], + "score": 1.0, + "content": "• In Section", + "type": "text" + }, + { + "bbox": [ + 183, + 109, + 194, + 123 + ], + "score": 0.59, + "content": "\\textcircled { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 109, + 506, + 123 + ], + "score": 1.0, + "content": "we experimentally stress test our Feature Calibration conjecture across various", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 141, + 121, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 141, + 121, + 506, + 133 + ], + "score": 1.0, + "content": "settings in machine learning, including neural networks, kernel machines, and decision trees.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 141, + 131, + 424, + 145 + ], + "spans": [ + { + "bbox": [ + 141, + 131, + 424, + 145 + ], + "score": 1.0, + "content": "This highlights the universality of our results across machine learning.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 133, + 146, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 133, + 146, + 185, + 160 + ], + "score": 1.0, + "content": "• In Section", + "type": "text" + }, + { + "bbox": [ + 185, + 147, + 195, + 160 + ], + "score": 0.53, + "content": "5 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 146, + 505, + 160 + ], + "score": 1.0, + "content": "we relate our results to classical generalization, by defining a new notion of", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 158, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 141, + 158, + 505, + 171 + ], + "score": 1.0, + "content": "Distributional Generalization which subsumes both classical generalization and our new", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 142, + 171, + 192, + 181 + ], + "spans": [ + { + "bbox": [ + 142, + 171, + 192, + 181 + ], + "score": 1.0, + "content": "conjectures.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 133, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 133, + 185, + 220, + 197 + ], + "score": 1.0, + "content": "• Finally, in Section", + "type": "text" + }, + { + "bbox": [ + 220, + 185, + 238, + 198 + ], + "score": 0.65, + "content": "5 . 2", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 185, + 505, + 197 + ], + "score": 1.0, + "content": "we informally discuss how Distributional Generalization can be", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 196, + 320, + 208 + ], + "spans": [ + { + "bbox": [ + 141, + 196, + 320, + 208 + ], + "score": 1.0, + "content": "applied even for non-interpolating methods.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 102, + 218, + 503, + 240 + ], + "lines": [ + { + "bbox": [ + 106, + 217, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 505, + 231 + ], + "score": 1.0, + "content": "Our results, thus, extend our understanding of the implicit bias of interpolating methods, and introduce", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 228, + 433, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 433, + 242 + ], + "score": 1.0, + "content": "a new type of generalization exhibited across many methods in machine learning.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 104, + 253, + 262, + 265 + ], + "lines": [ + { + "bbox": [ + 105, + 252, + 263, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 263, + 268 + ], + "score": 1.0, + "content": "1.3 Related Work and Significance", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 101, + 274, + 504, + 286 + ], + "lines": [ + { + "bbox": [ + 105, + 272, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 506, + 289 + ], + "score": 1.0, + "content": "Our work has connections to, and implications for many existing research programs in deep learning.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 290, + 505, + 411 + ], + "lines": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "score": 1.0, + "content": "Implicit Bias and Overparameterization. There has been a long line of recent work towards", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "understanding overparameterized and interpolating methods, since these pose challenges for classical", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 311, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 457, + 326 + ], + "score": 1.0, + "content": "theories of generalization (e.g. Belkin et al. [8, 9, 10], Breiman [11], Gunasekar et al.", + "type": "text" + }, + { + "bbox": [ + 457, + 312, + 475, + 324 + ], + "score": 0.53, + "content": "\\mathbb { \\left[ \\left. 2 5 \\right] \\right. }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 311, + 506, + 326 + ], + "score": 1.0, + "content": ", Liang", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 156, + 335 + ], + "score": 1.0, + "content": "and Rakhlin", + "type": "text" + }, + { + "bbox": [ + 157, + 323, + 174, + 334 + ], + "score": 0.45, + "content": "\\boxed { \\ B 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 323, + 238, + 335 + ], + "score": 1.0, + "content": ", Nakkiran et al.", + "type": "text" + }, + { + "bbox": [ + 238, + 323, + 256, + 335 + ], + "score": 0.28, + "content": "\\mathbb { \\lVert \\boldsymbol { 4 3 } \\rVert }", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 323, + 462, + 335 + ], + "score": 1.0, + "content": ", Schapire et al. [58], Soudry et al. [62], Zhang et al.", + "type": "text" + }, + { + "bbox": [ + 462, + 324, + 480, + 335 + ], + "score": 0.3, + "content": "\\pmb { \\mathbb { Z } 1 } \\mathbf { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "). The", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "score": 1.0, + "content": "“implicit bias” program here aims to answer: Among all models with 0 train error, which model is", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "score": 1.0, + "content": "actually produced by SGD? Most existing work seeks to characterize the exact implicit bias of models", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 356, + 507, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 507, + 369 + ], + "score": 1.0, + "content": "under certain (sometimes strong) assumptions on the model, training method or the data distribution.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 367, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 506, + 379 + ], + "score": 1.0, + "content": "In contrast, our conjecture applies across many different interpolating models (from neural nets to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 378, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 506, + 390 + ], + "score": 1.0, + "content": "decision trees) as they would be used in practice, and thus form a sort of “universal implicit bias” of", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "score": 1.0, + "content": "these methods. Moreover, our results place constraints on potential future theories of implicit bias,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 399, + 338, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 338, + 412 + ], + "score": 1.0, + "content": "and guide us towards theories that better capture practice.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 87, + 416, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 86, + 414, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 86, + 417, + 100, + 429 + ], + "score": 1.0, + "content": "100", + "type": "text" + }, + { + "bbox": [ + 104, + 414, + 506, + 431 + ], + "score": 1.0, + "content": "Benign Overfitting. Most prior works on interpolating classifiers attempt to explain why training", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 86, + 426, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 86, + 429, + 99, + 439 + ], + "score": 1.0, + "content": "101", + "type": "text" + }, + { + "bbox": [ + 105, + 426, + 506, + 440 + ], + "score": 1.0, + "content": "to interpolation “does not harm” the the model. This has been dubbed “benign overfitting” [7] and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 86, + 436, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 86, + 439, + 100, + 450 + ], + "score": 1.0, + "content": "102", + "type": "text" + }, + { + "bbox": [ + 104, + 436, + 506, + 451 + ], + "score": 1.0, + "content": "“harmless interpolation” [40], reflecting the widely-held belief that interpolation does not harm the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 86, + 448, + 507, + 462 + ], + "spans": [ + { + "bbox": [ + 86, + 450, + 100, + 461 + ], + "score": 1.0, + "content": "103", + "type": "text" + }, + { + "bbox": [ + 105, + 448, + 507, + 462 + ], + "score": 1.0, + "content": "decision boundary of classifiers. In contrast, we find that interpolation actually does “harm” classifiers,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 86, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 86, + 461, + 100, + 472 + ], + "score": 1.0, + "content": "104", + "type": "text" + }, + { + "bbox": [ + 106, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "in predictable ways: fitting the label noise on the train set causes similar noise to be reproduced at", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 86, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 86, + 472, + 100, + 483 + ], + "score": 1.0, + "content": "105", + "type": "text" + }, + { + "bbox": [ + 106, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "test time. Our results thus indicate that interpolation can significantly affect the decision boundary of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 86, + 480, + 370, + 494 + ], + "spans": [ + { + "bbox": [ + 86, + 483, + 100, + 493 + ], + "score": 1.0, + "content": "106", + "type": "text" + }, + { + "bbox": [ + 105, + 480, + 370, + 494 + ], + "score": 1.0, + "content": "classifiers, and should not be considered a purely “benign” effect.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 86, + 498, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 86, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 86, + 500, + 99, + 509 + ], + "score": 1.0, + "content": "107", + "type": "text" + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "Classical Generalization and Scaling Limits. Our framework of Distributional Generalization is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 86, + 511, + 100, + 521 + ], + "score": 1.0, + "content": "108", + "type": "text" + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "insightful even to study classical generalization, since it reveals much more about models than just", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 86, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 86, + 522, + 100, + 532 + ], + "score": 1.0, + "content": "109", + "type": "text" + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "their test error. For example, statistical learning theory attempts to understand if and when models", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 85, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 85, + 532, + 100, + 542 + ], + "score": 1.0, + "content": "110", + "type": "text" + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "will asymptotically converge to Bayes optimal classifiers, in the limit of large data (“asymptotic", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 86, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 86, + 544, + 99, + 553 + ], + "score": 1.0, + "content": "111", + "type": "text" + }, + { + "bbox": [ + 105, + 541, + 176, + 554 + ], + "score": 1.0, + "content": "consistency” [59,", + "type": "text" + }, + { + "bbox": [ + 177, + 541, + 192, + 553 + ], + "score": 0.42, + "content": "\\dot { 6 5 } \\|", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "). In deep learning, there are at least two distinct ways to scale model and data", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 85, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 85, + 554, + 100, + 565 + ], + "score": 1.0, + "content": "112", + "type": "text" + }, + { + "bbox": [ + 105, + 553, + 398, + 565 + ], + "score": 1.0, + "content": "to infinity together: the underparameterized scaling limit, where data-size", + "type": "text" + }, + { + "bbox": [ + 398, + 554, + 410, + 563 + ], + "score": 0.8, + "content": "\\gg", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "model-size always, and", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 86, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 566, + 99, + 575 + ], + "score": 1.0, + "content": "113", + "type": "text" + }, + { + "bbox": [ + 105, + 563, + 315, + 576 + ], + "score": 1.0, + "content": "the overparameterized scaling limit, where data-size", + "type": "text" + }, + { + "bbox": [ + 316, + 564, + 328, + 574 + ], + "score": 0.75, + "content": "\\ll", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "model-size always. The underparameterized", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 86, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 86, + 576, + 100, + 586 + ], + "score": 1.0, + "content": "114", + "type": "text" + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "scaling limit is well-understood: when data is essentially infinite, neural networks will converge to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 86, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 86, + 587, + 100, + 597 + ], + "score": 1.0, + "content": "115", + "type": "text" + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "the Bayes-optimal classifier (provided the model-size is large enough, and the optimization is run", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 86, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 86, + 598, + 100, + 608 + ], + "score": 1.0, + "content": "116", + "type": "text" + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "for long enough, with enough noise to escape local minima). On the other hand, our work suggests", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 86, + 607, + 507, + 620 + ], + "spans": [ + { + "bbox": [ + 86, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "117", + "type": "text" + }, + { + "bbox": [ + 105, + 607, + 507, + 620 + ], + "score": 1.0, + "content": "that in the overparameterized scaling limit, models will not converge to the Bayes-optimal classifier.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 86, + 617, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 86, + 620, + 100, + 630 + ], + "score": 1.0, + "content": "118", + "type": "text" + }, + { + "bbox": [ + 105, + 617, + 506, + 632 + ], + "score": 1.0, + "content": "Specifically, our Feature Calibration Conjecture implies that in the limit of large data, interpolating", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 86, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 86, + 631, + 100, + 641 + ], + "score": 1.0, + "content": "119", + "type": "text" + }, + { + "bbox": [ + 105, + 628, + 429, + 642 + ], + "score": 1.0, + "content": "models will approach a sampler from the distribution. That is, the limiting model", + "type": "text" + }, + { + "bbox": [ + 429, + 629, + 437, + 640 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "will be such that", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 86, + 639, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 86, + 642, + 99, + 651 + ], + "score": 1.0, + "content": "120", + "type": "text" + }, + { + "bbox": [ + 105, + 639, + 149, + 654 + ], + "score": 1.0, + "content": "the output", + "type": "text" + }, + { + "bbox": [ + 149, + 640, + 169, + 651 + ], + "score": 0.92, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 639, + 238, + 654 + ], + "score": 1.0, + "content": "is a sample from", + "type": "text" + }, + { + "bbox": [ + 238, + 640, + 265, + 652 + ], + "score": 0.92, + "content": "p ( y | x )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 639, + 399, + 654 + ], + "score": 1.0, + "content": ", as opposed to the Bayes-optimal", + "type": "text" + }, + { + "bbox": [ + 400, + 640, + 503, + 653 + ], + "score": 0.93, + "content": "f ^ { * } ( x ) = \\mathop { \\mathrm { a r g m a x } } _ { y } p ( y | x )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 639, + 506, + 654 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 86, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 86, + 652, + 99, + 663 + ], + "score": 1.0, + "content": "121", + "type": "text" + }, + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "score": 1.0, + "content": "This claim— that overparameterized models do not converge to Bayes-optimal classifiers— is unique", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 86, + 662, + 439, + 675 + ], + "spans": [ + { + "bbox": [ + 86, + 663, + 100, + 674 + ], + "score": 1.0, + "content": "122", + "type": "text" + }, + { + "bbox": [ + 105, + 662, + 439, + 675 + ], + "score": 1.0, + "content": "to our work as far as we know, and highlights the broad implications of our results.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 87, + 678, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 86, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 86, + 680, + 99, + 689 + ], + "score": 1.0, + "content": "123", + "type": "text" + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "Locality and Manifold Learning. Our intuition for the behaviors in this work is that they arise due to", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 86, + 687, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 86, + 691, + 100, + 700 + ], + "score": 1.0, + "content": "124", + "type": "text" + }, + { + "bbox": [ + 104, + 687, + 506, + 702 + ], + "score": 1.0, + "content": "some form of “locality” of the trained classifiers, in an appropriate embedding space. For example, the", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 86, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 86, + 702, + 99, + 712 + ], + "score": 1.0, + "content": "125", + "type": "text" + }, + { + "bbox": [ + 105, + 699, + 240, + 713 + ], + "score": 1.0, + "content": "behavior observed in Experiment", + "type": "text" + }, + { + "bbox": [ + 240, + 701, + 249, + 712 + ], + "score": 0.5, + "content": "\\perp", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "would be consistent with that of a 1-Nearest-Neighbor classifier", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 86, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 86, + 712, + 100, + 722 + ], + "score": 1.0, + "content": "126", + "type": "text" + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "in a embedding that separates the CIFAR-10 classes well. This intuition that classifiers learn good", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 50.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 310, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 310, + 752 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "list", + "bbox": [ + 133, + 72, + 505, + 207 + ], + "lines": [ + { + "bbox": [ + 133, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 133, + 72, + 186, + 85 + ], + "score": 1.0, + "content": "• In Section", + "type": "text" + }, + { + "bbox": [ + 186, + 72, + 196, + 86 + ], + "score": 0.79, + "content": "\\textcircled { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "we introduce a formal “Feature Calibration” conjecture, which unifies our", + "type": "text" + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 84, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 141, + 84, + 505, + 95 + ], + "score": 1.0, + "content": "experimental observations. Roughly, Feature Calibration says that the outputs of classifiers", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 141, + 95, + 495, + 106 + ], + "spans": [ + { + "bbox": [ + 141, + 95, + 495, + 106 + ], + "score": 1.0, + "content": "match the statistics of their training distribution when conditioned on certain subgroups.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 132, + 109, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 132, + 109, + 183, + 123 + ], + "score": 1.0, + "content": "• In Section", + "type": "text" + }, + { + "bbox": [ + 183, + 109, + 194, + 123 + ], + "score": 0.59, + "content": "\\textcircled { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 109, + 506, + 123 + ], + "score": 1.0, + "content": "we experimentally stress test our Feature Calibration conjecture across various", + "type": "text" + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 121, + 506, + 133 + ], + "spans": [ + { + 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There has been a long line of recent work towards", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "understanding overparameterized and interpolating methods, since these pose challenges for classical", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 311, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 457, + 326 + ], + "score": 1.0, + "content": "theories of generalization (e.g. Belkin et al. [8, 9, 10], Breiman [11], Gunasekar et al.", + "type": "text" + }, + { + "bbox": [ + 457, + 312, + 475, + 324 + ], + "score": 0.53, + "content": "\\mathbb { \\left[ \\left. 2 5 \\right] \\right. }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 311, + 506, + 326 + ], + "score": 1.0, + "content": ", Liang", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 156, + 335 + ], + "score": 1.0, + "content": "and Rakhlin", + "type": "text" + }, + { + "bbox": [ + 157, + 323, + 174, + 334 + ], + "score": 0.45, + "content": "\\boxed { \\ B 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 323, + 238, + 335 + ], + "score": 1.0, + "content": ", Nakkiran et al.", + "type": "text" + }, + { + "bbox": [ + 238, + 323, + 256, + 335 + ], + "score": 0.28, + "content": "\\mathbb { \\lVert \\boldsymbol { 4 3 } \\rVert }", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 323, + 462, + 335 + ], + "score": 1.0, + "content": ", Schapire et al. [58], Soudry et al. [62], Zhang et al.", + "type": "text" + }, + { + "bbox": [ + 462, + 324, + 480, + 335 + ], + "score": 0.3, + "content": "\\pmb { \\mathbb { Z } 1 } \\mathbf { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "). The", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 347 + ], + "score": 1.0, + "content": "“implicit bias” program here aims to answer: Among all models with 0 train error, which model is", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "score": 1.0, + "content": "actually produced by SGD? Most existing work seeks to characterize the exact implicit bias of models", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 356, + 507, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 507, + 369 + ], + "score": 1.0, + "content": "under certain (sometimes strong) assumptions on the model, training method or the data distribution.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 367, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 506, + 379 + ], + "score": 1.0, + "content": "In contrast, our conjecture applies across many different interpolating models (from neural nets to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 378, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 506, + 390 + ], + "score": 1.0, + "content": "decision trees) as they would be used in practice, and thus form a sort of “universal implicit bias” of", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "score": 1.0, + "content": "these methods. Moreover, our results place constraints on potential future theories of implicit bias,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 399, + 338, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 338, + 412 + ], + "score": 1.0, + "content": "and guide us towards theories that better capture practice.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 290, + 507, + 412 + ] + }, + { + "type": "index", + "bbox": [ + 87, + 416, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 86, + 414, + 506, + 431 + ], + "spans": [ + { + "bbox": [ + 86, + 417, + 100, + 429 + ], + "score": 1.0, + "content": "100", + "type": "text" + }, + { + "bbox": [ + 104, + 414, + 506, + 431 + ], + "score": 1.0, + "content": "Benign Overfitting. Most prior works on interpolating classifiers attempt to explain why training", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 426, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 86, + 429, + 99, + 439 + ], + "score": 1.0, + "content": "101", + "type": "text" + }, + { + "bbox": [ + 105, + 426, + 506, + 440 + ], + "score": 1.0, + "content": "to interpolation “does not harm” the the model. This has been dubbed “benign overfitting” [7] and", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 436, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 86, + 439, + 100, + 450 + ], + "score": 1.0, + "content": "102", + "type": "text" + }, + { + "bbox": [ + 104, + 436, + 506, + 451 + ], + "score": 1.0, + "content": "“harmless interpolation” [40], reflecting the widely-held belief that interpolation does not harm the", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 448, + 507, + 462 + ], + "spans": [ + { + "bbox": [ + 86, + 450, + 100, + 461 + ], + "score": 1.0, + "content": "103", + "type": "text" + }, + { + "bbox": [ + 105, + 448, + 507, + 462 + ], + "score": 1.0, + "content": "decision boundary of classifiers. 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Our results thus indicate that interpolation can significantly affect the decision boundary of", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 480, + 370, + 494 + ], + "spans": [ + { + "bbox": [ + 86, + 483, + 100, + 493 + ], + "score": 1.0, + "content": "106", + "type": "text" + }, + { + "bbox": [ + 105, + 480, + 370, + 494 + ], + "score": 1.0, + "content": "classifiers, and should not be considered a purely “benign” effect.", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 498, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 86, + 500, + 99, + 509 + ], + "score": 1.0, + "content": "107", + "type": "text" + }, + { + "bbox": [ + 106, + 498, + 505, + 510 + ], + "score": 1.0, + "content": "Classical Generalization and Scaling Limits. Our framework of Distributional Generalization is", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 86, + 511, + 100, + 521 + ], + "score": 1.0, + "content": "108", + "type": "text" + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "insightful even to study classical generalization, since it reveals much more about models than just", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 86, + 522, + 100, + 532 + ], + "score": 1.0, + "content": "109", + "type": "text" + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "their test error. For example, statistical learning theory attempts to understand if and when models", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 85, + 532, + 100, + 542 + ], + "score": 1.0, + "content": "110", + "type": "text" + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "will asymptotically converge to Bayes optimal classifiers, in the limit of large data (“asymptotic", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 86, + 544, + 99, + 553 + ], + "score": 1.0, + "content": "111", + "type": "text" + }, + { + "bbox": [ + 105, + 541, + 176, + 554 + ], + "score": 1.0, + "content": "consistency” [59,", + "type": "text" + }, + { + "bbox": [ + 177, + 541, + 192, + 553 + ], + "score": 0.42, + "content": "\\dot { 6 5 } \\|", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "). In deep learning, there are at least two distinct ways to scale model and data", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 85, + 554, + 100, + 565 + ], + "score": 1.0, + "content": "112", + "type": "text" + }, + { + "bbox": [ + 105, + 553, + 398, + 565 + ], + "score": 1.0, + "content": "to infinity together: the underparameterized scaling limit, where data-size", + "type": "text" + }, + { + "bbox": [ + 398, + 554, + 410, + 563 + ], + "score": 0.8, + "content": "\\gg", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "model-size always, and", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 86, + 566, + 99, + 575 + ], + "score": 1.0, + "content": "113", + "type": "text" + }, + { + "bbox": [ + 105, + 563, + 315, + 576 + ], + "score": 1.0, + "content": "the overparameterized scaling limit, where data-size", + "type": "text" + }, + { + "bbox": [ + 316, + 564, + 328, + 574 + ], + "score": 0.75, + "content": "\\ll", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "model-size always. The underparameterized", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 86, + 576, + 100, + 586 + ], + "score": 1.0, + "content": "114", + "type": "text" + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "scaling limit is well-understood: when data is essentially infinite, neural networks will converge to", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 86, + 587, + 100, + 597 + ], + "score": 1.0, + "content": "115", + "type": "text" + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "the Bayes-optimal classifier (provided the model-size is large enough, and the optimization is run", + "type": "text" + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 86, + 598, + 100, + 608 + ], + "score": 1.0, + "content": "116", + "type": "text" + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "for long enough, with enough noise to escape local minima). On the other hand, our work suggests", + "type": "text" + } + ], + "index": 42, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 607, + 507, + 620 + ], + "spans": [ + { + "bbox": [ + 86, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "117", + "type": "text" + }, + { + "bbox": [ + 105, + 607, + 507, + 620 + ], + "score": 1.0, + "content": "that in the overparameterized scaling limit, models will not converge to the Bayes-optimal classifier.", + "type": "text" + } + ], + "index": 43, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 617, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 86, + 620, + 100, + 630 + ], + "score": 1.0, + "content": "118", + "type": "text" + }, + { + "bbox": [ + 105, + 617, + 506, + 632 + ], + "score": 1.0, + "content": "Specifically, our Feature Calibration Conjecture implies that in the limit of large data, interpolating", + "type": "text" + } + ], + "index": 44, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 86, + 631, + 100, + 641 + ], + "score": 1.0, + "content": "119", + "type": "text" + }, + { + "bbox": [ + 105, + 628, + 429, + 642 + ], + "score": 1.0, + "content": "models will approach a sampler from the distribution. That is, the limiting model", + "type": "text" + }, + { + "bbox": [ + 429, + 629, + 437, + 640 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "will be such that", + "type": "text" + } + ], + "index": 45, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 639, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 86, + 642, + 99, + 651 + ], + "score": 1.0, + "content": "120", + "type": "text" + }, + { + "bbox": [ + 105, + 639, + 149, + 654 + ], + "score": 1.0, + "content": "the output", + "type": "text" + }, + { + "bbox": [ + 149, + 640, + 169, + 651 + ], + "score": 0.92, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 639, + 238, + 654 + ], + "score": 1.0, + "content": "is a sample from", + "type": "text" + }, + { + "bbox": [ + 238, + 640, + 265, + 652 + ], + "score": 0.92, + "content": "p ( y | x )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 639, + 399, + 654 + ], + "score": 1.0, + "content": ", as opposed to the Bayes-optimal", + "type": "text" + }, + { + "bbox": [ + 400, + 640, + 503, + 653 + ], + "score": 0.93, + "content": "f ^ { * } ( x ) = \\mathop { \\mathrm { a r g m a x } } _ { y } p ( y | x )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 639, + 506, + 654 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 46, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 86, + 652, + 99, + 663 + ], + "score": 1.0, + "content": "121", + "type": "text" + }, + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "score": 1.0, + "content": "This claim— that overparameterized models do not converge to Bayes-optimal classifiers— is unique", + "type": "text" + } + ], + "index": 47, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 662, + 439, + 675 + ], + "spans": [ + { + "bbox": [ + 86, + 663, + 100, + 674 + ], + "score": 1.0, + "content": "122", + "type": "text" + }, + { + "bbox": [ + 105, + 662, + 439, + 675 + ], + "score": 1.0, + "content": "to our work as far as we know, and highlights the broad implications of our results.", + "type": "text" + } + ], + "index": 48, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 86, + 680, + 99, + 689 + ], + "score": 1.0, + "content": "123", + "type": "text" + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "Locality and Manifold Learning. Our intuition for the behaviors in this work is that they arise due to", + "type": "text" + } + ], + "index": 49, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 687, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 86, + 691, + 100, + 700 + ], + "score": 1.0, + "content": "124", + "type": "text" + }, + { + "bbox": [ + 104, + 687, + 506, + 702 + ], + "score": 1.0, + "content": "some form of “locality” of the trained classifiers, in an appropriate embedding space. 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(Note that these definitions, crucially, involve randomness from sampling the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 86, + 105, + 339, + 118 + ], + "spans": [ + { + "bbox": [ + 86, + 108, + 99, + 117 + ], + "score": 1.0, + "content": "174", + "type": "text" + }, + { + "bbox": [ + 106, + 105, + 339, + 118 + ], + "score": 1.0, + "content": "train set, training the classifier, and sampling a test point).", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "title", + "bbox": [ + 87, + 129, + 216, + 141 + ], + "lines": [ + { + "bbox": [ + 85, + 128, + 217, + 142 + ], + "spans": [ + { + "bbox": [ + 85, + 128, + 217, + 142 + ], + "score": 1.0, + "content": "175 3.2 Feature Calibration", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 149, + 505, + 193 + ], + "lines": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "We now formally describe the Feature Calibration Conjecture. At a high level, we argue that the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 159, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 160, + 173 + ], + "score": 1.0, + "content": "distributions", + "type": "text" + }, + { + "bbox": [ + 160, + 161, + 176, + 171 + ], + "score": 0.9, + "content": "\\mathcal { D } _ { \\mathrm { t e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 159, + 195, + 173 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 195, + 161, + 204, + 170 + ], + "score": 0.81, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 159, + 505, + 173 + ], + "score": 1.0, + "content": "are statistically close for interpolating classifiers if we first “coarsen” the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 170, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 151, + 184 + ], + "score": 1.0, + "content": "domain of", + "type": "text" + }, + { + "bbox": [ + 151, + 173, + 158, + 181 + ], + "score": 0.73, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 170, + 234, + 184 + ], + "score": 1.0, + "content": "by some partition", + "type": "text" + }, + { + "bbox": [ + 235, + 171, + 294, + 183 + ], + "score": 0.96, + "content": "L : \\mathcal { X } [ M ]", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 170, + 317, + 184 + ], + "score": 1.0, + "content": "in to", + "type": "text" + }, + { + "bbox": [ + 317, + 172, + 329, + 181 + ], + "score": 0.81, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 170, + 478, + 184 + ], + "score": 1.0, + "content": "parts. That is, for certain partitions", + "type": "text" + }, + { + "bbox": [ + 478, + 172, + 486, + 181 + ], + "score": 0.81, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 170, + 505, + 184 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 182, + 288, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 288, + 194 + ], + "score": 1.0, + "content": "following distributions are statistically close:", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6.5 + }, + { + "type": "interline_equation", + "bbox": [ + 233, + 195, + 378, + 209 + ], + "lines": [ + { + "bbox": [ + 233, + 195, + 378, + 209 + ], + "spans": [ + { + "bbox": [ + 233, + 195, + 378, + 209 + ], + "score": 0.91, + "content": "( L ( x ) , f ( x ) ) _ { x \\sim \\mathcal { D } } \\approx _ { \\varepsilon } ( L ( x ) , y ) _ { x \\sim \\mathcal { D } }", + "type": "interline_equation", + "image_path": 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This is subtle, since it must depend on almost all", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 86, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 86, + 284, + 100, + 294 + ], + "score": 1.0, + "content": "182", + "type": "text" + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "parameters of the problem. For example, consider a modification to Experiment 1, where we use", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 85, + 292, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 85, + 294, + 100, + 304 + ], + "score": 1.0, + "content": "183", + "type": "text" + }, + { + "bbox": [ + 104, + 292, + 506, + 306 + ], + "score": 1.0, + "content": "a fully-connected network (MLP) instead of a ResNet. An MLP cannot properly distinguish cats", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 86, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 86, + 306, + 100, + 315 + ], + "score": 1.0, + "content": "184", + "type": "text" + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "even when it is actually provided the real CIFAR-10 labels, and so (informally) it has no hope of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 85, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 85, + 316, + 100, + 327 + ], + "score": 1.0, + "content": "185", + "type": "text" + }, + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "behaving differently on cats in the setting of Experiment 1, where the cats are not labeled explicitly", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 85, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 85, + 327, + 100, + 338 + ], + "score": 1.0, + "content": "186", + "type": "text" + }, + { + "bbox": [ + 106, + 325, + 152, + 339 + ], + "score": 1.0, + "content": "(See Figure", + "type": "text" + }, + { + "bbox": [ + 153, + 325, + 171, + 338 + ], + "score": 0.48, + "content": "{ \\bf C } . 2", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "for results with MLPs). Similarly, if we train the ResNet with very few samples from", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 85, + 336, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 85, + 338, + 100, + 348 + ], + "score": 1.0, + "content": "187", + "type": "text" + }, + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "score": 1.0, + "content": "the distribution, the network will be unable to recognize cats. Thus, the allowable partitions must", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 86, + 348, + 466, + 360 + ], + "spans": [ + { + "bbox": [ + 86, + 350, + 100, + 359 + ], + "score": 1.0, + "content": "188", + "type": "text" + }, + { + "bbox": [ + 106, + 348, + 466, + 360 + ], + "score": 1.0, + "content": "depend on the classifier family and the training method, including the number of samples.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 86, + 363, + 505, + 441 + ], + "lines": [ + { + "bbox": [ + 86, + 363, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 86, + 366, + 99, + 374 + ], + "score": 1.0, + "content": "189", + "type": "text" + }, + { + "bbox": [ + 104, + 363, + 506, + 376 + ], + "score": 1.0, + "content": "We conjecture that allowable partitions are those which can themselves be learnt to good test", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 86, + 375, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 86, + 377, + 100, + 387 + ], + "score": 1.0, + "content": "190", + "type": "text" + }, + { + "bbox": [ + 104, + 375, + 466, + 387 + ], + "score": 1.0, + "content": "performance with an identical training procedure, but trained with the labels of the partition", + "type": "text" + }, + { + "bbox": [ + 466, + 375, + 474, + 385 + ], + "score": 0.79, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 375, + 506, + 387 + ], + "score": 1.0, + "content": "instead", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 86, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 86, + 387, + 100, + 398 + ], + "score": 1.0, + "content": "191", + "type": "text" + }, + { + "bbox": [ + 105, + 385, + 118, + 398 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 388, + 124, + 397 + ], + "score": 0.75, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 385, + 465, + 398 + ], + "score": 1.0, + "content": ". To formalize this, we define a distinguishable feature: a partition of the domain", + "type": "text" + }, + { + "bbox": [ + 466, + 386, + 475, + 396 + ], + "score": 0.81, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 476, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "that is", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 86, + 396, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 86, + 399, + 100, + 407 + ], + "score": 1.0, + "content": "192", + "type": "text" + }, + { + "bbox": [ + 105, + 397, + 351, + 409 + ], + "score": 1.0, + "content": "learnable for a given training procedure. Thus, in Experiment", + "type": "text" + }, + { + "bbox": [ + 351, + 396, + 361, + 409 + ], + "score": 0.74, + "content": "^ { 1 , }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 397, + 506, + 409 + ], + "score": 1.0, + "content": "the partition into CIFAR-10 classes", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 86, + 407, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 86, + 410, + 100, + 419 + ], + "score": 1.0, + "content": "193", + "type": "text" + }, + { + "bbox": [ + 105, + 407, + 506, + 420 + ], + "score": 1.0, + "content": "would be a distinguishable feature for ResNets (trained with SGD with 50K or more samples), but", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 86, + 419, + 502, + 431 + ], + "spans": [ + { + "bbox": [ + 86, + 421, + 100, + 430 + ], + "score": 1.0, + "content": "194", + "type": "text" + }, + { + "bbox": [ + 105, + 419, + 396, + 431 + ], + "score": 1.0, + "content": "not for MLPs. 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Our main conjecture follows.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 86, + 604, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 86, + 603, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 86, + 606, + 100, + 616 + ], + "score": 1.0, + "content": "202", + "type": "text" + }, + { + "bbox": [ + 105, + 603, + 370, + 617 + ], + "score": 1.0, + "content": "Conjecture 1 (Feature Calibration). 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This is subtle, since it must depend on almost all", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 86, + 284, + 100, + 294 + ], + "score": 1.0, + "content": "182", + "type": "text" + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "parameters of the problem. For example, consider a modification to Experiment 1, where we use", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 292, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 85, + 294, + 100, + 304 + ], + "score": 1.0, + "content": "183", + "type": "text" + }, + { + "bbox": [ + 104, + 292, + 506, + 306 + ], + "score": 1.0, + "content": "a fully-connected network (MLP) instead of a ResNet. An MLP cannot properly distinguish cats", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 86, + 306, + 100, + 315 + ], + "score": 1.0, + "content": "184", + "type": "text" + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "even when it is actually provided the real CIFAR-10 labels, and so (informally) it has no hope of", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 85, + 316, + 100, + 327 + ], + "score": 1.0, + "content": "185", + "type": "text" + }, + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "behaving differently on cats in the setting of Experiment 1, where the cats are not labeled explicitly", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 85, + 327, + 100, + 338 + ], + "score": 1.0, + "content": "186", + "type": "text" + }, + { + "bbox": [ + 106, + 325, + 152, + 339 + ], + "score": 1.0, + "content": "(See Figure", + "type": "text" + }, + { + "bbox": [ + 153, + 325, + 171, + 338 + ], + "score": 0.48, + "content": "{ \\bf C } . 2", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "for results with MLPs). Similarly, if we train the ResNet with very few samples from", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 336, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 85, + 338, + 100, + 348 + ], + "score": 1.0, + "content": "187", + "type": "text" + }, + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "score": 1.0, + "content": "the distribution, the network will be unable to recognize cats. Thus, the allowable partitions must", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 348, + 466, + 360 + ], + "spans": [ + { + "bbox": [ + 86, + 350, + 100, + 359 + ], + "score": 1.0, + "content": "188", + "type": "text" + }, + { + "bbox": [ + 106, + 348, + 466, + 360 + ], + "score": 1.0, + "content": "depend on the classifier family and the training method, including the number of samples.", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 363, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 86, + 366, + 99, + 374 + ], + "score": 1.0, + "content": "189", + "type": "text" + }, + { + "bbox": [ + 104, + 363, + 506, + 376 + ], + "score": 1.0, + "content": "We conjecture that allowable partitions are those which can themselves be learnt to good test", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 375, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 86, + 377, + 100, + 387 + ], + "score": 1.0, + "content": "190", + "type": "text" + }, + { + "bbox": [ + 104, + 375, + 466, + 387 + ], + "score": 1.0, + "content": "performance with an identical training procedure, but trained with the labels of the partition", + "type": "text" + }, + { + "bbox": [ + 466, + 375, + 474, + 385 + ], + "score": 0.79, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 375, + 506, + 387 + ], + "score": 1.0, + "content": "instead", + "type": "text" + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 86, + 387, + 100, + 398 + ], + "score": 1.0, + "content": "191", + "type": "text" + }, + { + "bbox": [ + 105, + 385, + 118, + 398 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 388, + 124, + 397 + ], + "score": 0.75, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 385, + 465, + 398 + ], + "score": 1.0, + "content": ". 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We claim that this holds for all distinguishable", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 85, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 85, + 96, + 100, + 106 + ], + "score": 1.0, + "content": "208", + "type": "text" + }, + { + "bbox": [ + 105, + 93, + 140, + 108 + ], + "score": 1.0, + "content": "features", + "type": "text" + }, + { + "bbox": [ + 141, + 95, + 149, + 104 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "“automatically” – we simply train a classifier, without specifying any particular partition.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 86, + 104, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 86, + 108, + 99, + 117 + ], + "score": 1.0, + "content": "209", + "type": "text" + }, + { + "bbox": [ + 104, + 104, + 254, + 119 + ], + "score": 1.0, + "content": "The formal statements of Definition", + "type": "text" + }, + { + "bbox": [ + 254, + 105, + 264, + 118 + ], + "score": 0.76, + "content": "\\dot { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 104, + 327, + 119 + ], + "score": 1.0, + "content": "and Conjecture", + "type": "text" + }, + { + "bbox": [ + 327, + 105, + 337, + 118 + ], + "score": 0.66, + "content": "^ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 104, + 506, + 119 + ], + "score": 1.0, + "content": "may seem somewhat arbitrary, involving", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 85, + 117, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 85, + 118, + 100, + 128 + ], + "score": 1.0, + "content": "210", + "type": "text" + }, + { + "bbox": [ + 105, + 117, + 198, + 129 + ], + "score": 1.0, + "content": "many quantifiers over", + "type": "text" + }, + { + "bbox": [ + 199, + 117, + 246, + 128 + ], + "score": 0.92, + "content": "( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 117, + 506, + 129 + ], + "score": 1.0, + "content": ". However, we believe these statements are natural: In addition", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 85, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 85, + 129, + 100, + 139 + ], + "score": 1.0, + "content": "211", + "type": "text" + }, + { + "bbox": [ + 105, + 127, + 290, + 140 + ], + "score": 1.0, + "content": "to extensive experimental evidence in Section", + "type": "text" + }, + { + "bbox": [ + 290, + 127, + 300, + 140 + ], + "score": 0.69, + "content": "^ { 4 , }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 127, + 421, + 140 + ], + "score": 1.0, + "content": "we also prove that Conjecture", + "type": "text" + }, + { + "bbox": [ + 421, + 127, + 431, + 140 + ], + "score": 0.68, + "content": "^ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "is formally true as", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 85, + 137, + 327, + 150 + ], + "spans": [ + { + "bbox": [ + 85, + 140, + 100, + 150 + ], + "score": 1.0, + "content": "212", + "type": "text" + }, + { + "bbox": [ + 105, + 137, + 327, + 150 + ], + "score": 1.0, + "content": "stated for 1-Nearest-Neighbor classifiers in Theorem 1.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "title", + "bbox": [ + 92, + 162, + 321, + 173 + ], + "lines": [ + { + "bbox": [ + 88, + 161, + 321, + 176 + ], + "spans": [ + { + "bbox": [ + 88, + 161, + 321, + 176 + ], + "score": 1.0, + "content": "213 3.3 Feature Calibration for 1-Nearest-Neighbors", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 88, + 182, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 86, + 182, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 86, + 184, + 99, + 193 + ], + "score": 1.0, + "content": "214", + "type": "text" + }, + { + "bbox": [ + 105, + 182, + 446, + 194 + ], + "score": 1.0, + "content": "Here we prove that the 1-Nearest-Neighbor classifier formally satisfies Conjecture", + "type": "text" + }, + { + "bbox": [ + 446, + 182, + 456, + 195 + ], + "score": 0.84, + "content": "^ { 1 , }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 182, + 505, + 194 + ], + "score": 1.0, + "content": "under mild", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 85, + 192, + 507, + 207 + ], + "spans": [ + { + "bbox": [ + 85, + 195, + 100, + 205 + ], + "score": 1.0, + "content": "215", + "type": "text" + }, + { + "bbox": [ + 104, + 192, + 507, + 207 + ], + "score": 1.0, + "content": "assumptions. We view this theorem as support for our (somewhat involved) formalism of Conjecture 1.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 85, + 202, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 85, + 205, + 100, + 216 + ], + "score": 1.0, + "content": "216", + "type": "text" + }, + { + "bbox": [ + 104, + 202, + 506, + 217 + ], + "score": 1.0, + "content": "Indeed, without Theorem 1 below, it is unclear if our statement of Conjecture 1 can ever be satisfied by", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 85, + 214, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 85, + 216, + 100, + 226 + ], + "score": 1.0, + "content": "217", + "type": "text" + }, + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "score": 1.0, + "content": "any classifier, or if it is simply too strong to be true. This theorem applies generically to a wide class", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 85, + 226, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 85, + 227, + 100, + 237 + ], + "score": 1.0, + "content": "218", + "type": "text" + }, + { + "bbox": [ + 105, + 226, + 506, + 238 + ], + "score": 1.0, + "content": "of distributions; the only assumption is a weak regularity condition: sampling the nearest-neighbor", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 86, + 236, + 455, + 249 + ], + "spans": [ + { + "bbox": [ + 86, + 238, + 100, + 248 + ], + "score": 1.0, + "content": "219", + "type": "text" + }, + { + "bbox": [ + 105, + 236, + 455, + 249 + ], + "score": 1.0, + "content": "train point to a random test point should yield (close to) a uniformly random test point.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 90, + 250, + 505, + 311 + ], + "lines": [ + { + "bbox": [ + 87, + 249, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 87, + 252, + 99, + 262 + ], + "score": 1.0, + "content": "220", + "type": "text" + }, + { + "bbox": [ + 105, + 249, + 176, + 263 + ], + "score": 1.0, + "content": "Theorem 1. Let", + "type": "text" + }, + { + "bbox": [ + 176, + 251, + 186, + 260 + ], + "score": 0.66, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 249, + 278, + 263 + ], + "score": 1.0, + "content": "be a distribution over", + "type": "text" + }, + { + "bbox": [ + 279, + 250, + 309, + 261 + ], + "score": 0.9, + "content": "\\mathcal { X } \\times \\mathcal { V } _ { : }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 249, + 344, + 263 + ], + "score": 1.0, + "content": ", and let", + "type": "text" + }, + { + "bbox": [ + 344, + 250, + 373, + 261 + ], + "score": 0.89, + "content": "n \\in \\mathbb N", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 249, + 506, + 263 + ], + "score": 1.0, + "content": "be the number of train samples.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 87, + 260, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 87, + 263, + 99, + 273 + ], + "score": 1.0, + "content": "221", + "type": "text" + }, + { + "bbox": [ + 104, + 260, + 506, + 275 + ], + "score": 1.0, + "content": "Assume the following regularity condition holds: Sampling the nearest-neighbor train point to a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 87, + 271, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 87, + 274, + 100, + 284 + ], + "score": 1.0, + "content": "222", + "type": "text" + }, + { + "bbox": [ + 104, + 271, + 506, + 286 + ], + "score": 1.0, + "content": "random test point yields (close to) a uniformly random test point. That is, suppose that for some", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 87, + 281, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 87, + 285, + 100, + 294 + ], + "score": 1.0, + "content": "223", + "type": "text" + }, + { + "bbox": [ + 105, + 281, + 130, + 297 + ], + "score": 1.0, + "content": "small", + "type": "text" + }, + { + "bbox": [ + 130, + 283, + 154, + 294 + ], + "score": 0.9, + "content": "\\delta \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 281, + 228, + 297 + ], + "score": 1.0, + "content": ", the distributions:", + "type": "text" + }, + { + "bbox": [ + 228, + 283, + 367, + 300 + ], + "score": 0.9, + "content": "\\begin{array} { r l r } { \\{ \\mathrm { N N } _ { S } ( x ) \\} _ { S \\sim \\mathcal { D } ^ { n } } } & { { } \\approx _ { \\delta } } & { \\{ x \\} _ { x \\sim \\mathcal { D } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 281, + 506, + 297 + ], + "score": 1.0, + "content": ". Then, Conjecture 1 holds. That is,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 88, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 88, + 301, + 101, + 311 + ], + "score": 1.0, + "content": "224", + "type": "text" + }, + { + "bbox": [ + 103, + 299, + 134, + 312 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 135, + 299, + 189, + 311 + ], + "score": 0.94, + "content": "( \\varepsilon , \\mathrm { N N } , \\mathcal { D } , n )", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 299, + 296, + 312 + ], + "score": 1.0, + "content": "-distinguishable partitions", + "type": "text" + }, + { + "bbox": [ + 297, + 300, + 304, + 309 + ], + "score": 0.74, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 299, + 505, + 312 + ], + "score": 1.0, + "content": ", the following distributions are statistically close:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 313, + 417, + 336 + ], + "lines": [ + { + "bbox": [ + 193, + 313, + 417, + 336 + ], + "spans": [ + { + "bbox": [ + 193, + 313, + 417, + 336 + ], + "score": 0.91, + "content": "\\begin{array} { r l } { \\{ ( y , L ( x ) ) \\} _ { x , y \\sim \\mathcal { D } } } & { { } \\approx _ { \\varepsilon + \\delta } \\quad \\{ ( \\mathrm { N N } _ { S } ^ { ( y ) } ( x ) , L ( x ) \\} _ { S \\sim \\mathcal { D } ^ { n } } } \\end{array}", + "type": "interline_equation", + "image_path": "f935ee166b7dd73882affa2afe669f9e3e6fc111a9a06cda682f2f38997df2b4.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 193, + 313, + 417, + 336 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 103, + 343, + 504, + 366 + ], + "lines": [ + { + "bbox": [ + 105, + 343, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 195, + 357 + ], + "score": 1.0, + "content": "The proof of Theorem", + "type": "text" + }, + { + "bbox": [ + 195, + 343, + 204, + 356 + ], + "score": 0.76, + "content": "\\bigstar", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 343, + 381, + 357 + ], + "score": 1.0, + "content": "is straightforward, and provided in Appendix", + "type": "text" + }, + { + "bbox": [ + 382, + 343, + 400, + 356 + ], + "score": 0.84, + "content": "\\overline { { \\mathbb { D } } } -", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 343, + 506, + 357 + ], + "score": 1.0, + "content": "but this strong property of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 354, + 342, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 342, + 367 + ], + "score": 1.0, + "content": "nearest-neighbors was not know before, to our knowledge.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 98, + 378, + 278, + 390 + ], + "lines": [ + { + "bbox": [ + 106, + 378, + 279, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 279, + 391 + ], + "score": 1.0, + "content": "3.4 Limitations: Natural Distributions", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 105, + 397, + 506, + 519 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 201, + 411 + ], + "score": 1.0, + "content": "Technically, Conjecture", + "type": "text" + }, + { + "bbox": [ + 202, + 398, + 211, + 411 + ], + "score": 0.76, + "content": "\\bigtriangledown", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "is not fully specified, since it does not specify exactly which classifiers or", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 409, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 422 + ], + "score": 1.0, + "content": "distributions obey the conjecture. We do not claim that all classifiers and distributions satisfy our", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 505, + 433 + ], + "score": 1.0, + "content": "conjectures. Nevertheless, we claim our conjectures hold in all “natural” settings, which informally", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 505, + 443 + ], + "score": 1.0, + "content": "means settings with real data and classifiers that are actually used in practice. The problem of", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 441, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 506, + 455 + ], + "score": 1.0, + "content": "understanding what separates “natural distributions” from artificial ones is not unique to our work,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "score": 1.0, + "content": "and lies at the heart of deep learning theory. Many theoretical works handle this by considering", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "score": 1.0, + "content": "simplified distributional assumptions (e.g. smoothness, well-separatedness, gaussianity), which are", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "score": 1.0, + "content": "mathematically tractable, but untested in practice [2, 4, 35]. In contrast, we do not make untestable", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 486, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 506, + 497 + ], + "score": 1.0, + "content": "mathematical assumptions. This benefit of realism comes at the cost of mathematical formalism.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "We hope that as the theory of deep learning evolves, we will better understand how to formalize the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 508, + 260, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 260, + 519 + ], + "score": 1.0, + "content": "notion of “natural” in our conjectures.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 87, + 533, + 300, + 547 + ], + "lines": [ + { + "bbox": [ + 86, + 532, + 302, + 549 + ], + "spans": [ + { + "bbox": [ + 86, + 537, + 100, + 548 + ], + "score": 1.0, + "content": "239", + "type": "text" + }, + { + "bbox": [ + 101, + 532, + 302, + 549 + ], + "score": 1.0, + "content": "4 Experiments: Feature Calibration", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 90, + 558, + 505, + 625 + ], + "lines": [ + { + "bbox": [ + 87, + 556, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 87, + 560, + 99, + 569 + ], + "score": 1.0, + "content": "240", + "type": "text" + }, + { + "bbox": [ + 105, + 556, + 506, + 572 + ], + "score": 1.0, + "content": "We now give empirical evidence for our conjecture in a variety of settings in machine learning,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 87, + 569, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 87, + 571, + 99, + 580 + ], + "score": 1.0, + "content": "241", + "type": "text" + }, + { + "bbox": [ + 106, + 569, + 506, + 581 + ], + "score": 1.0, + "content": "including neural networks, kernel machines, and decision trees. In each experiment, we consider", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 87, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 87, + 581, + 100, + 591 + ], + "score": 1.0, + "content": "242", + "type": "text" + }, + { + "bbox": [ + 104, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "a feature that is (verifiably) distinguishable, and then test our Feature Calibration conjecture for", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 87, + 590, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 87, + 592, + 100, + 603 + ], + "score": 1.0, + "content": "243", + "type": "text" + }, + { + "bbox": [ + 105, + 590, + 506, + 604 + ], + "score": 1.0, + "content": "this feature. Each of the experimental settings below highlights a different aspect of interpolating", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 87, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 87, + 604, + 99, + 613 + ], + "score": 1.0, + "content": "244", + "type": "text" + }, + { + "bbox": [ + 106, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "classifiers, which may be of independent interest. Selected experiments are summarized here, with", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 87, + 612, + 311, + 625 + ], + "spans": [ + { + "bbox": [ + 87, + 614, + 99, + 623 + ], + "score": 1.0, + "content": "245", + "type": "text" + }, + { + "bbox": [ + 105, + 612, + 311, + 625 + ], + "score": 1.0, + "content": "full details and further experiments in Appendix C.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 103, + 629, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 106, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 414, + 641 + ], + "score": 1.0, + "content": "Constant Partition: Consider the trivially-distinguishable constant feature:", + "type": "text" + }, + { + "bbox": [ + 414, + 629, + 454, + 641 + ], + "score": 0.95, + "content": "L ( x ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "everywhere.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 214, + 652 + ], + "score": 1.0, + "content": "For this feature, Conjecture", + "type": "text" + }, + { + "bbox": [ + 214, + 639, + 223, + 653 + ], + "score": 0.48, + "content": "^ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 640, + 506, + 652 + ], + "score": 1.0, + "content": "reduces to the statement that the marginal distribution of class labels for", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 331, + 663 + ], + "score": 1.0, + "content": "any interpolating classifier is close to the true marginals", + "type": "text" + }, + { + "bbox": [ + 332, + 650, + 351, + 663 + ], + "score": 0.91, + "content": "p ( y )", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 650, + 506, + 663 + ], + "score": 1.0, + "content": ". To test this, we construct a variant of", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 661, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 505, + 673 + ], + "score": 1.0, + "content": "CIFAR-10 with class-imbalance and train classifiers with varying levels of test errors to interpolation", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 672, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 210, + 685 + ], + "score": 1.0, + "content": "on it. As shown in Figure", + "type": "text" + }, + { + "bbox": [ + 210, + 672, + 224, + 685 + ], + "score": 0.77, + "content": "2 \\mathrm { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 673, + 506, + 685 + ], + "score": 1.0, + "content": ", the marginals of the classifier outputs are close to the true marginals,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 683, + 321, + 696 + ], + "spans": [ + { + "bbox": [ + 105, + 683, + 260, + 696 + ], + "score": 1.0, + "content": "even for a classifier that only achieves", + "type": "text" + }, + { + "bbox": [ + 261, + 684, + 280, + 694 + ], + "score": 0.88, + "content": "37 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 683, + 321, + 696 + ], + "score": 1.0, + "content": "test error.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 43.5 + }, + { + "type": "text", + "bbox": [ + 90, + 699, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 88, + 698, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 88, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 105, + 698, + 404, + 713 + ], + "score": 1.0, + "content": "Coarse Partition: Consider AlexNet trained on ILSVRC-2012 ImageNet", + "type": "text" + }, + { + "bbox": [ + 405, + 699, + 422, + 711 + ], + "score": 0.66, + "content": "\\begin{array} { r l } { { \\bigl [ \\bigl | \\boldsymbol { 5 } 6 \\bigr | \\bigr ] } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 698, + 505, + 713 + ], + "score": 1.0, + "content": ", a 1000-class image", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 89, + 709, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 89, + 713, + 101, + 722 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 103, + 709, + 437, + 724 + ], + "score": 1.0, + "content": "classification problem with 116 varieties of dogs. The network achieves only", + "type": "text" + }, + { + "bbox": [ + 437, + 711, + 465, + 721 + ], + "score": 0.85, + "content": "56 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 709, + 505, + 724 + ], + "score": 1.0, + "content": "accuracy", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 310, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 310, + 752 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "index", + "bbox": [ + 86, + 72, + 506, + 151 + ], + "lines": [ + { + "bbox": [ + 86, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 86, + 74, + 100, + 84 + ], + "score": 1.0, + "content": "206", + "type": "text" + }, + { + "bbox": [ + 105, + 72, + 387, + 84 + ], + "score": 1.0, + "content": "This claims that the TV distance between the LHS and RHS of Equation", + "type": "text" + }, + { + "bbox": [ + 388, + 72, + 400, + 85 + ], + "score": 0.85, + "content": "\\textcircled{4}", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 72, + 440, + 84 + ], + "score": 1.0, + "content": "is at most", + "type": "text" + }, + { + "bbox": [ + 440, + 75, + 446, + 83 + ], + "score": 0.7, + "content": "\\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 72, + 475, + 84 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 475, + 75, + 481, + 83 + ], + "score": 0.76, + "content": "\\varepsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 72, + 505, + 84 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 86, + 86, + 99, + 95 + ], + "score": 1.0, + "content": "207", + "type": "text" + }, + { + "bbox": [ + 106, + 83, + 301, + 95 + ], + "score": 1.0, + "content": "error of the distinguishable feature (in Definition", + "type": "text" + }, + { + "bbox": [ + 302, + 83, + 312, + 96 + ], + "score": 0.44, + "content": "\\mathbb { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 83, + 505, + 95 + ], + "score": 1.0, + "content": ". We claim that this holds for all distinguishable", + "type": "text" + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 85, + 96, + 100, + 106 + ], + "score": 1.0, + "content": "208", + "type": "text" + }, + { + "bbox": [ + 105, + 93, + 140, + 108 + ], + "score": 1.0, + "content": "features", + "type": "text" + }, + { + "bbox": [ + 141, + 95, + 149, + 104 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 93, + 506, + 108 + ], + "score": 1.0, + "content": "“automatically” – we simply train a classifier, without specifying any particular partition.", + "type": "text" + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 104, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 86, + 108, + 99, + 117 + ], + "score": 1.0, + "content": "209", + "type": "text" + }, + { + "bbox": [ + 104, + 104, + 254, + 119 + ], + "score": 1.0, + "content": "The formal statements of Definition", + "type": "text" + }, + { + "bbox": [ + 254, + 105, + 264, + 118 + ], + "score": 0.76, + "content": "\\dot { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 104, + 327, + 119 + ], + "score": 1.0, + "content": "and Conjecture", + "type": "text" + }, + { + "bbox": [ + 327, + 105, + 337, + 118 + ], + "score": 0.66, + "content": "^ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 104, + 506, + 119 + ], + "score": 1.0, + "content": "may seem somewhat arbitrary, involving", + "type": "text" + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 117, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 85, + 118, + 100, + 128 + ], + "score": 1.0, + "content": "210", + "type": "text" + }, + { + "bbox": [ + 105, + 117, + 198, + 129 + ], + "score": 1.0, + "content": "many quantifiers over", + "type": "text" + }, + { + "bbox": [ + 199, + 117, + 246, + 128 + ], + "score": 0.92, + "content": "( \\varepsilon , \\mathcal { A } , \\mathcal { D } , n )", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 117, + 506, + 129 + ], + "score": 1.0, + "content": ". However, we believe these statements are natural: In addition", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 85, + 129, + 100, + 139 + ], + "score": 1.0, + "content": "211", + "type": "text" + }, + { + "bbox": [ + 105, + 127, + 290, + 140 + ], + "score": 1.0, + "content": "to extensive experimental evidence in Section", + "type": "text" + }, + { + "bbox": [ + 290, + 127, + 300, + 140 + ], + "score": 0.69, + "content": "^ { 4 , }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 127, + 421, + 140 + ], + "score": 1.0, + "content": "we also prove that Conjecture", + "type": "text" + }, + { + "bbox": [ + 421, + 127, + 431, + 140 + ], + "score": 0.68, + "content": "^ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "is formally true as", + "type": "text" + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 137, + 327, + 150 + ], + "spans": [ + { + "bbox": [ + 85, + 140, + 100, + 150 + ], + "score": 1.0, + "content": "212", + "type": "text" + }, + { + "bbox": [ + 105, + 137, + 327, + 150 + ], + "score": 1.0, + "content": "stated for 1-Nearest-Neighbor classifiers in Theorem 1.", + "type": "text" + } + ], + "index": 6, + "is_list_start_line": true + } + ], + "index": 3, + "bbox_fs": [ + 85, + 72, + 506, + 150 + ] + }, + { + "type": "title", + "bbox": [ + 92, + 162, + 321, + 173 + ], + "lines": [ + { + "bbox": [ + 88, + 161, + 321, + 176 + ], + "spans": [ + { + "bbox": [ + 88, + 161, + 321, + 176 + ], + "score": 1.0, + "content": "213 3.3 Feature Calibration for 1-Nearest-Neighbors", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "index", + "bbox": [ + 88, + 182, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 86, + 182, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 86, + 184, + 99, + 193 + ], + "score": 1.0, + "content": "214", + "type": "text" + }, + { + "bbox": [ + 105, + 182, + 446, + 194 + ], + "score": 1.0, + "content": "Here we prove that the 1-Nearest-Neighbor classifier formally satisfies Conjecture", + "type": "text" + }, + { + "bbox": [ + 446, + 182, + 456, + 195 + ], + "score": 0.84, + "content": "^ { 1 , }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 182, + 505, + 194 + ], + "score": 1.0, + "content": "under mild", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 192, + 507, + 207 + ], + "spans": [ + { + "bbox": [ + 85, + 195, + 100, + 205 + ], + "score": 1.0, + "content": "215", + "type": "text" + }, + { + "bbox": [ + 104, + 192, + 507, + 207 + ], + "score": 1.0, + "content": "assumptions. We view this theorem as support for our (somewhat involved) formalism of Conjecture 1.", + "type": "text" + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 202, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 85, + 205, + 100, + 216 + ], + "score": 1.0, + "content": "216", + "type": "text" + }, + { + "bbox": [ + 104, + 202, + 506, + 217 + ], + "score": 1.0, + "content": "Indeed, without Theorem 1 below, it is unclear if our statement of Conjecture 1 can ever be satisfied by", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 214, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 85, + 216, + 100, + 226 + ], + "score": 1.0, + "content": "217", + "type": "text" + }, + { + "bbox": [ + 105, + 214, + 506, + 227 + ], + "score": 1.0, + "content": "any classifier, or if it is simply too strong to be true. This theorem applies generically to a wide class", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 226, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 85, + 227, + 100, + 237 + ], + "score": 1.0, + "content": "218", + "type": "text" + }, + { + "bbox": [ + 105, + 226, + 506, + 238 + ], + "score": 1.0, + "content": "of distributions; the only assumption is a weak regularity condition: sampling the nearest-neighbor", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 236, + 455, + 249 + ], + "spans": [ + { + "bbox": [ + 86, + 238, + 100, + 248 + ], + "score": 1.0, + "content": "219", + "type": "text" + }, + { + "bbox": [ + 105, + 236, + 455, + 249 + ], + "score": 1.0, + "content": "train point to a random test point should yield (close to) a uniformly random test point.", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 249, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 87, + 252, + 99, + 262 + ], + "score": 1.0, + "content": "220", + "type": "text" + }, + { + "bbox": [ + 105, + 249, + 176, + 263 + ], + "score": 1.0, + "content": "Theorem 1. Let", + "type": "text" + }, + { + "bbox": [ + 176, + 251, + 186, + 260 + ], + "score": 0.66, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 249, + 278, + 263 + ], + "score": 1.0, + "content": "be a distribution over", + "type": "text" + }, + { + "bbox": [ + 279, + 250, + 309, + 261 + ], + "score": 0.9, + "content": "\\mathcal { X } \\times \\mathcal { V } _ { : }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 249, + 344, + 263 + ], + "score": 1.0, + "content": ", and let", + "type": "text" + }, + { + "bbox": [ + 344, + 250, + 373, + 261 + ], + "score": 0.89, + "content": "n \\in \\mathbb N", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 249, + 506, + 263 + ], + "score": 1.0, + "content": "be the number of train samples.", + "type": "text" + } + ], + "index": 14, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 260, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 87, + 263, + 99, + 273 + ], + "score": 1.0, + "content": "221", + "type": "text" + }, + { + "bbox": [ + 104, + 260, + 506, + 275 + ], + "score": 1.0, + "content": "Assume the following regularity condition holds: Sampling the nearest-neighbor train point to a", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 271, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 87, + 274, + 100, + 284 + ], + "score": 1.0, + "content": "222", + "type": "text" + }, + { + "bbox": [ + 104, + 271, + 506, + 286 + ], + "score": 1.0, + "content": "random test point yields (close to) a uniformly random test point. That is, suppose that for some", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 281, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 87, + 285, + 100, + 294 + ], + "score": 1.0, + "content": "223", + "type": "text" + }, + { + "bbox": [ + 105, + 281, + 130, + 297 + ], + "score": 1.0, + "content": "small", + "type": "text" + }, + { + "bbox": [ + 130, + 283, + 154, + 294 + ], + "score": 0.9, + "content": "\\delta \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 281, + 228, + 297 + ], + "score": 1.0, + "content": ", the distributions:", + "type": "text" + }, + { + "bbox": [ + 228, + 283, + 367, + 300 + ], + "score": 0.9, + "content": "\\begin{array} { r l r } { \\{ \\mathrm { N N } _ { S } ( x ) \\} _ { S \\sim \\mathcal { D } ^ { n } } } & { { } \\approx _ { \\delta } } & { \\{ x \\} _ { x \\sim \\mathcal { D } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 281, + 506, + 297 + ], + "score": 1.0, + "content": ". Then, Conjecture 1 holds. That is,", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 88, + 301, + 101, + 311 + ], + "score": 1.0, + "content": "224", + "type": "text" + }, + { + "bbox": [ + 103, + 299, + 134, + 312 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 135, + 299, + 189, + 311 + ], + "score": 0.94, + "content": "( \\varepsilon , \\mathrm { N N } , \\mathcal { D } , n )", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 299, + 296, + 312 + ], + "score": 1.0, + "content": "-distinguishable partitions", + "type": "text" + }, + { + "bbox": [ + 297, + 300, + 304, + 309 + ], + "score": 0.74, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 299, + 505, + 312 + ], + "score": 1.0, + "content": ", the following distributions are statistically close:", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + } + ], + "index": 10.5, + "bbox_fs": [ + 85, + 182, + 507, + 249 + ] + }, + { + "type": "index", + "bbox": [ + 90, + 250, + 505, + 311 + ], + "lines": [], + "index": 16, + "bbox_fs": [ + 87, + 249, + 506, + 312 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 313, + 417, + 336 + ], + "lines": [ + { + "bbox": [ + 193, + 313, + 417, + 336 + ], + "spans": [ + { + "bbox": [ + 193, + 313, + 417, + 336 + ], + "score": 0.91, + "content": "\\begin{array} { r l } { \\{ ( y , L ( x ) ) \\} _ { x , y \\sim \\mathcal { D } } } & { { } \\approx _ { \\varepsilon + \\delta } \\quad \\{ ( \\mathrm { N N } _ { S } ^ { ( y ) } ( x ) , L ( x ) \\} _ { S \\sim \\mathcal { D } ^ { n } } } \\end{array}", + "type": "interline_equation", + "image_path": "f935ee166b7dd73882affa2afe669f9e3e6fc111a9a06cda682f2f38997df2b4.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 193, + 313, + 417, + 336 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 103, + 343, + 504, + 366 + ], + "lines": [ + { + "bbox": [ + 105, + 343, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 195, + 357 + ], + "score": 1.0, + "content": "The proof of Theorem", + "type": "text" + }, + { + "bbox": [ + 195, + 343, + 204, + 356 + ], + "score": 0.76, + "content": "\\bigstar", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 343, + 381, + 357 + ], + "score": 1.0, + "content": "is straightforward, and provided in Appendix", + "type": "text" + }, + { + "bbox": [ + 382, + 343, + 400, + 356 + ], + "score": 0.84, + "content": "\\overline { { \\mathbb { D } } } -", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 343, + 506, + 357 + ], + "score": 1.0, + "content": "but this strong property of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 354, + 342, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 342, + 367 + ], + "score": 1.0, + "content": "nearest-neighbors was not know before, to our knowledge.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 343, + 506, + 367 + ] + }, + { + "type": "title", + "bbox": [ + 98, + 378, + 278, + 390 + ], + "lines": [ + { + "bbox": [ + 106, + 378, + 279, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 279, + 391 + ], + "score": 1.0, + "content": "3.4 Limitations: Natural Distributions", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 105, + 397, + 506, + 519 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 201, + 411 + ], + "score": 1.0, + "content": "Technically, Conjecture", + "type": "text" + }, + { + "bbox": [ + 202, + 398, + 211, + 411 + ], + "score": 0.76, + "content": "\\bigtriangledown", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "is not fully specified, since it does not specify exactly which classifiers or", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 409, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 505, + 422 + ], + "score": 1.0, + "content": "distributions obey the conjecture. We do not claim that all classifiers and distributions satisfy our", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 505, + 433 + ], + "score": 1.0, + "content": "conjectures. Nevertheless, we claim our conjectures hold in all “natural” settings, which informally", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 505, + 443 + ], + "score": 1.0, + "content": "means settings with real data and classifiers that are actually used in practice. The problem of", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 441, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 506, + 455 + ], + "score": 1.0, + "content": "understanding what separates “natural distributions” from artificial ones is not unique to our work,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "score": 1.0, + "content": "and lies at the heart of deep learning theory. Many theoretical works handle this by considering", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "score": 1.0, + "content": "simplified distributional assumptions (e.g. smoothness, well-separatedness, gaussianity), which are", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 487 + ], + "score": 1.0, + "content": "mathematically tractable, but untested in practice [2, 4, 35]. In contrast, we do not make untestable", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 486, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 506, + 497 + ], + "score": 1.0, + "content": "mathematical assumptions. This benefit of realism comes at the cost of mathematical formalism.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "We hope that as the theory of deep learning evolves, we will better understand how to formalize the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 508, + 260, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 260, + 519 + ], + "score": 1.0, + "content": "notion of “natural” in our conjectures.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 398, + 506, + 519 + ] + }, + { + "type": "title", + "bbox": [ + 87, + 533, + 300, + 547 + ], + "lines": [ + { + "bbox": [ + 86, + 532, + 302, + 549 + ], + "spans": [ + { + "bbox": [ + 86, + 537, + 100, + 548 + ], + "score": 1.0, + "content": "239", + "type": "text" + }, + { + "bbox": [ + 101, + 532, + 302, + 549 + ], + "score": 1.0, + "content": "4 Experiments: Feature Calibration", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "index", + "bbox": [ + 90, + 558, + 505, + 625 + ], + "lines": [ + { + "bbox": [ + 87, + 556, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 87, + 560, + 99, + 569 + ], + "score": 1.0, + "content": "240", + "type": "text" + }, + { + "bbox": [ + 105, + 556, + 506, + 572 + ], + "score": 1.0, + "content": "We now give empirical evidence for our conjecture in a variety of settings in machine learning,", + "type": "text" + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 569, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 87, + 571, + 99, + 580 + ], + "score": 1.0, + "content": "241", + "type": "text" + }, + { + "bbox": [ + 106, + 569, + 506, + 581 + ], + "score": 1.0, + "content": "including neural networks, kernel machines, and decision trees. In each experiment, we consider", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 87, + 581, + 100, + 591 + ], + "score": 1.0, + "content": "242", + "type": "text" + }, + { + "bbox": [ + 104, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "a feature that is (verifiably) distinguishable, and then test our Feature Calibration conjecture for", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 590, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 87, + 592, + 100, + 603 + ], + "score": 1.0, + "content": "243", + "type": "text" + }, + { + "bbox": [ + 105, + 590, + 506, + 604 + ], + "score": 1.0, + "content": "this feature. Each of the experimental settings below highlights a different aspect of interpolating", + "type": "text" + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 87, + 604, + 99, + 613 + ], + "score": 1.0, + "content": "244", + "type": "text" + }, + { + "bbox": [ + 106, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "classifiers, which may be of independent interest. Selected experiments are summarized here, with", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 612, + 311, + 625 + ], + "spans": [ + { + "bbox": [ + 87, + 614, + 99, + 623 + ], + "score": 1.0, + "content": "245", + "type": "text" + }, + { + "bbox": [ + 105, + 612, + 311, + 625 + ], + "score": 1.0, + "content": "full details and further experiments in Appendix C.", + "type": "text" + } + ], + "index": 40, + "is_list_start_line": true + } + ], + "index": 37.5, + "bbox_fs": [ + 87, + 556, + 506, + 625 + ] + }, + { + "type": "text", + "bbox": [ + 103, + 629, + 505, + 695 + ], + "lines": [ + { + "bbox": [ + 106, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 414, + 641 + ], + "score": 1.0, + "content": "Constant Partition: Consider the trivially-distinguishable constant feature:", + "type": "text" + }, + { + "bbox": [ + 414, + 629, + 454, + 641 + ], + "score": 0.95, + "content": "L ( x ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "everywhere.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 214, + 652 + ], + "score": 1.0, + "content": "For this feature, Conjecture", + "type": "text" + }, + { + "bbox": [ + 214, + 639, + 223, + 653 + ], + "score": 0.48, + "content": "^ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 640, + 506, + 652 + ], + "score": 1.0, + "content": "reduces to the statement that the marginal distribution of class labels for", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 331, + 663 + ], + "score": 1.0, + "content": "any interpolating classifier is close to the true marginals", + "type": "text" + }, + { + "bbox": [ + 332, + 650, + 351, + 663 + ], + "score": 0.91, + "content": "p ( y )", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 650, + 506, + 663 + ], + "score": 1.0, + "content": ". To test this, we construct a variant of", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 661, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 505, + 673 + ], + "score": 1.0, + "content": "CIFAR-10 with class-imbalance and train classifiers with varying levels of test errors to interpolation", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 672, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 210, + 685 + ], + "score": 1.0, + "content": "on it. As shown in Figure", + "type": "text" + }, + { + "bbox": [ + 210, + 672, + 224, + 685 + ], + "score": 0.77, + "content": "2 \\mathrm { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 673, + 506, + 685 + ], + "score": 1.0, + "content": ", the marginals of the classifier outputs are close to the true marginals,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 683, + 321, + 696 + ], + "spans": [ + { + "bbox": [ + 105, + 683, + 260, + 696 + ], + "score": 1.0, + "content": "even for a classifier that only achieves", + "type": "text" + }, + { + "bbox": [ + 261, + 684, + 280, + 694 + ], + "score": 0.88, + "content": "37 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 683, + 321, + 696 + ], + "score": 1.0, + "content": "test error.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 628, + 506, + 696 + ] + }, + { + "type": "index", + "bbox": [ + 90, + 699, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 88, + 698, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 88, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "252", + "type": "text" + }, + { + "bbox": [ + 105, + 698, + 404, + 713 + ], + "score": 1.0, + "content": "Coarse Partition: Consider AlexNet trained on ILSVRC-2012 ImageNet", + "type": "text" + }, + { + "bbox": [ + 405, + 699, + 422, + 711 + ], + "score": 0.66, + "content": "\\begin{array} { r l } { { \\bigl [ \\bigl | \\boldsymbol { 5 } 6 \\bigr | \\bigr ] } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 698, + 505, + 713 + ], + "score": 1.0, + "content": ", a 1000-class image", + "type": "text" + } + ], + "index": 47, + "is_list_start_line": true + }, + { + "bbox": [ + 89, + 709, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 89, + 713, + 101, + 722 + ], + "score": 1.0, + "content": "253", + "type": "text" + }, + { + "bbox": [ + 103, + 709, + 437, + 724 + ], + "score": 1.0, + "content": "classification problem with 116 varieties of dogs. The network achieves only", + "type": "text" + }, + { + "bbox": [ + 437, + 711, + 465, + 721 + ], + "score": 0.85, + "content": "56 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 709, + 505, + 724 + ], + "score": 1.0, + "content": "accuracy", + "type": "text" + } + ], + "index": 48, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 448, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 87, + 451, + 99, + 460 + ], + "score": 1.0, + "content": "254", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 448, + 396, + 462 + ], + "score": 1.0, + "content": "on the test set. But it will at least classify most dogs as dogs (with", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 396, + 449, + 424, + 460 + ], + "score": 0.86, + "content": "9 8 . 4 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 424, + 448, + 506, + 462 + ], + "score": 1.0, + "content": "accuracy), making", + "type": "text", + "cross_page": true + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 86, + 461, + 99, + 471 + ], + "score": 1.0, + "content": "255", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 460, + 205, + 472 + ], + "score": 0.91, + "content": "L ( x ) \\in \\{ \\log , \\mathrm { n o t } \\mathrm { - d o g } \\}", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 205, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "a distinguishable feature. Moreover, as predicted by Conjecture 1, the", + "type": "text", + "cross_page": true + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 471, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 87, + 473, + 99, + 482 + ], + "score": 1.0, + "content": "256", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 471, + 281, + 482 + ], + "score": 1.0, + "content": "network is calibrated with respect to dogs:", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 281, + 471, + 309, + 481 + ], + "score": 0.87, + "content": "2 2 . 4 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 309, + 471, + 506, + 482 + ], + "score": 1.0, + "content": "of all dogs in ImageNet are Terriers, and indeed", + "type": "text", + "cross_page": true + } + ], + "index": 20, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 480, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 86, + 483, + 100, + 493 + ], + "score": 1.0, + "content": "257", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 480, + 195, + 495 + ], + "score": 1.0, + "content": "the network classifies", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 196, + 482, + 223, + 492 + ], + "score": 0.87, + "content": "2 0 . 9 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 223, + 480, + 372, + 495 + ], + "score": 1.0, + "content": "of all dogs as Terriers (though it has", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 372, + 482, + 387, + 492 + ], + "score": 0.86, + "content": "9 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 388, + 480, + 506, + 495 + ], + "score": 1.0, + "content": "error on which specific dogs", + "type": "text", + "cross_page": true + } + ], + "index": 21, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 86, + 494, + 100, + 504 + ], + "score": 1.0, + "content": "258", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 492, + 286, + 505 + ], + "score": 1.0, + "content": "it classifies as Terriers). See Appendix Table", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 287, + 492, + 296, + 505 + ], + "score": 0.5, + "content": "2", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 297, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "for details, and related experiments on ResNets and", + "type": "text", + "cross_page": true + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 502, + 200, + 516 + ], + "spans": [ + { + "bbox": [ + 87, + 506, + 99, + 514 + ], + "score": 1.0, + "content": "259", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 502, + 200, + 516 + ], + "score": 1.0, + "content": "kernels in Appendix C.", + "type": "text", + "cross_page": true + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 86, + 522, + 99, + 531 + ], + "score": 1.0, + "content": "260", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "Class Partition: We now consider settings where the class labels are themselves distinguishable", + "type": "text", + "cross_page": true + } + ], + "index": 24, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 86, + 533, + 99, + 542 + ], + "score": 1.0, + "content": "261", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "features (eg: CIFAR-10 classes are distinguishable by ResNets). Here our conjecture predicts the", + "type": "text", + "cross_page": true + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 540, + 507, + 555 + ], + "spans": [ + { + "bbox": [ + 86, + 544, + 99, + 553 + ], + "score": 1.0, + "content": "262", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 540, + 507, + 555 + ], + "score": 1.0, + "content": "behavior of interpolating classifiers under structured label noise. As an example, we generate a", + "type": "text", + "cross_page": true + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 85, + 554, + 100, + 564 + ], + "score": 1.0, + "content": "263", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 553, + 488, + 565 + ], + "score": 1.0, + "content": "random spare confusion matrix and apply this to the labels of CIFAR-10 as shown in Figure", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 488, + 552, + 503, + 565 + ], + "score": 0.74, + "content": "2 \\mathrm { A }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 504, + 553, + 505, + 565 + ], + "score": 1.0, + "content": ".", + "type": "text", + "cross_page": true + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 85, + 565, + 100, + 575 + ], + "score": 1.0, + "content": "264", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "We find that a WideResNet trained to interpolation outputs the same confusion matrix on the test", + "type": "text", + "cross_page": true + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 574, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 86, + 577, + 100, + 586 + ], + "score": 1.0, + "content": "265", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 574, + 181, + 586 + ], + "score": 1.0, + "content": "set as well (Figure", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 182, + 574, + 196, + 586 + ], + "score": 0.59, + "content": "\\bigstar \\bigstar \\bigstar", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 196, + 574, + 506, + 586 + ], + "score": 1.0, + "content": "). Now, to test that this phenomenon is indeed robust to the level of noise, we", + "type": "text", + "cross_page": true + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 85, + 586, + 100, + 597 + ], + "score": 1.0, + "content": "266", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 585, + 165, + 597 + ], + "score": 1.0, + "content": "mislabel class", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 166, + 586, + 192, + 595 + ], + "score": 0.89, + "content": "0 \\overline { { 1 } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 193, + 585, + 261, + 597 + ], + "score": 1.0, + "content": "with probability", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 261, + 587, + 268, + 596 + ], + "score": 0.8, + "content": "p", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 268, + 585, + 458, + 597 + ], + "score": 1.0, + "content": "in the CIFAR-10 train set for varying levels of", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 459, + 587, + 465, + 596 + ], + "score": 0.75, + "content": "p", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 465, + 585, + 505, + 597 + ], + "score": 1.0, + "content": ". We then", + "type": "text", + "cross_page": true + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 595, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 86, + 599, + 99, + 608 + ], + "score": 1.0, + "content": "267", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 595, + 139, + 610 + ], + "score": 1.0, + "content": "observe", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 140, + 596, + 147, + 608 + ], + "score": 0.81, + "content": "\\widehat { p } .", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 147, + 595, + 375, + 610 + ], + "score": 1.0, + "content": ", the fraction of samples mislabeled by this network from", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 376, + 596, + 403, + 606 + ], + "score": 0.89, + "content": "0 1", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 403, + 595, + 489, + 610 + ], + "score": 1.0, + "content": "in the test set (Figure", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 489, + 595, + 505, + 609 + ], + "score": 0.7, + "content": "3 \\mathsf { A }", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 85, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "268", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 607, + 134, + 619 + ], + "score": 1.0, + "content": "shows", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 134, + 609, + 141, + 618 + ], + "score": 0.81, + "content": "p", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 141, + 607, + 169, + 619 + ], + "score": 1.0, + "content": "versus", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 170, + 607, + 178, + 618 + ], + "score": 0.79, + "content": "\\widehat { p } \\big )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 178, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "). The Bayes optimal classifier for this distribution behaves as a step function (in", + "type": "text", + "cross_page": true + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 86, + 620, + 99, + 629 + ], + "score": 1.0, + "content": "269", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "bred), and a classifier that obeys Conjecture 1 exactly would follow the diagonal (in green). The actual", + "type": "text", + "cross_page": true + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 86, + 631, + 99, + 640 + ], + "score": 1.0, + "content": "270", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "experiment (in blue) is close to the behavior predicted by Conjecture 1. This experiment shows a", + "type": "text", + "cross_page": true + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 86, + 642, + 99, + 651 + ], + "score": 1.0, + "content": "271", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "contrast with classical learning theory. While most existing theory focuses on whether classifiers", + "type": "text", + "cross_page": true + } + ], + "index": 35, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 650, + 507, + 663 + ], + "spans": [ + { + "bbox": [ + 86, + 653, + 99, + 662 + ], + "score": 1.0, + "content": "272", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 650, + 507, + 663 + ], + "score": 1.0, + "content": "converge to the Bayes optimal solution, we show that interpolating classifiers behave “optimally” in a", + "type": "text", + "cross_page": true + } + ], + "index": 36, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 661, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 85, + 663, + 100, + 673 + ], + "score": 1.0, + "content": "273", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 661, + 505, + 675 + ], + "score": 1.0, + "content": "different sense: they match the distribution of their train set. We discuss this further in Section 5. See", + "type": "text", + "cross_page": true + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 672, + 460, + 685 + ], + "spans": [ + { + "bbox": [ + 85, + 674, + 100, + 685 + ], + "score": 1.0, + "content": "274", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 672, + 460, + 685 + ], + "score": 1.0, + "content": "Appendix C.4 for more experiments, including other classifiers such as Decisions Trees.", + "type": "text", + "cross_page": true + } + ], + "index": 38, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 86, + 690, + 100, + 700 + ], + "score": 1.0, + "content": "275", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "Multiple features: Conjecture 1 states that the network should be automatically calibrated for", + "type": "text", + "cross_page": true + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 87, + 700, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 87, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "276", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 700, + 505, + 711 + ], + "score": 1.0, + "content": "all distinguishable features, without any explicit labels for them. To do this, we use the CelebA", + "type": "text", + "cross_page": true + } + ], + "index": 40, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 710, + 507, + 723 + ], + "spans": [ + { + "bbox": [ + 86, + 713, + 101, + 722 + ], + "score": 1.0, + "content": "277", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 710, + 137, + 723 + ], + "score": 1.0, + "content": "dataset", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 137, + 710, + 155, + 722 + ], + "score": 0.34, + "content": "\\ [ \\overbrace { 3 7 } ]", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 155, + 710, + 507, + 723 + ], + "score": 1.0, + "content": ", containing images with many binary attributes per image. (“male”, “blond hair”, etc).", + "type": "text", + "cross_page": true + } + ], + "index": 41, + "is_list_start_line": true + }, + { + "bbox": [ + 90, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 90, + 75, + 100, + 83 + ], + "score": 1.0, + "content": "78", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 104, + 72, + 393, + 85 + ], + "score": 1.0, + "content": "We train a ResNet-50 to classify one of the hard attributes (accuracy", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 394, + 73, + 415, + 84 + ], + "score": 0.87, + "content": "80 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 415, + 72, + 505, + 85 + ], + "score": 1.0, + "content": ") and confirm that the", + "type": "text", + "cross_page": true + } + ], + "index": 0, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 83, + 501, + 96 + ], + "spans": [ + { + "bbox": [ + 88, + 83, + 344, + 96 + ], + "score": 1.0, + "content": "279 Feature Calibration holds for all the other attributes (Figure", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 344, + 83, + 355, + 96 + ], + "score": 0.69, + "content": "3 )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 356, + 83, + 501, + 96 + ], + "score": 1.0, + "content": "that are themselves distinguishable.", + "type": "text", + "cross_page": true + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 99, + 506, + 113 + ], + "spans": [ + { + "bbox": [ + 85, + 102, + 100, + 112 + ], + "score": 1.0, + "content": "280", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 99, + 470, + 113 + ], + "score": 1.0, + "content": "Quantitative predictions: We now test the quantitative predictions made by Conjecture", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 471, + 99, + 482, + 111 + ], + "score": 0.38, + "content": "\\boxed { 1 }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 483, + 100, + 506, + 111 + ], + "score": 1.0, + "content": "This", + "type": "text", + "cross_page": true + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 109, + 505, + 126 + ], + "spans": [ + { + "bbox": [ + 86, + 113, + 99, + 122 + ], + "score": 1.0, + "content": "281", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 109, + 394, + 126 + ], + "score": 1.0, + "content": "conjecture states that the TV-distance between the joint distributions", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 394, + 111, + 446, + 123 + ], + "score": 0.91, + "content": "( L ( x ) , f ( x ) )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 446, + 109, + 466, + 126 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 467, + 111, + 505, + 123 + ], + "score": 0.88, + "content": "( \\overline { { \\cal L } } ( x ) , y )", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 3, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 121, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 86, + 124, + 99, + 133 + ], + "score": 1.0, + "content": "282", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 121, + 150, + 135 + ], + "score": 1.0, + "content": "is at most", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 150, + 124, + 156, + 132 + ], + "score": 0.69, + "content": "\\varepsilon", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 156, + 121, + 189, + 135 + ], + "score": 1.0, + "content": ", where", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 189, + 124, + 196, + 132 + ], + "score": 0.75, + "content": "\\varepsilon", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 196, + 121, + 401, + 135 + ], + "score": 1.0, + "content": "is the error of the training procedure in learning", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 401, + 123, + 409, + 132 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 410, + 121, + 474, + 135 + ], + "score": 1.0, + "content": "(see Definition", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 474, + 123, + 484, + 135 + ], + "score": 0.39, + "content": "\\blacktriangleleft", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 484, + 121, + 506, + 135 + ], + "score": 1.0, + "content": ". To", + "type": "text", + "cross_page": true + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 85, + 134, + 100, + 145 + ], + "score": 1.0, + "content": "283", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 132, + 337, + 145 + ], + "score": 1.0, + "content": "test this, we consider binary task similar to Experiment", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 337, + 132, + 347, + 145 + ], + "score": 0.72, + "content": "^ 1", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 347, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "where (Ship, Plane) are labeled as", + "type": "text", + "cross_page": true + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 143, + 507, + 156 + ], + "spans": [ + { + "bbox": [ + 86, + 146, + 100, + 155 + ], + "score": 1.0, + "content": "284", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 105, + 143, + 319, + 156 + ], + "score": 1.0, + "content": "class 0 and (Cat, Dog) are labeled as class 1, with", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 320, + 144, + 352, + 155 + ], + "score": 0.89, + "content": "p = \\overline { { 0 . 3 } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 353, + 143, + 507, + 156 + ], + "score": 1.0, + "content": "fraction of cats mislabeled to class 0.", + "type": "text", + "cross_page": true + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 155, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 85, + 156, + 100, + 167 + ], + "score": 1.0, + "content": "285", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 106, + 155, + 461, + 167 + ], + "score": 1.0, + "content": "Then, we train a convolutional network to interpolation on this task. 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Now, to test that this phenomenon is indeed robust to the level of noise, we", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 85, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 85, + 586, + 100, + 597 + ], + "score": 1.0, + "content": "266", + "type": "text" + }, + { + "bbox": [ + 105, + 585, + 165, + 597 + ], + "score": 1.0, + "content": "mislabel class", + "type": "text" + }, + { + "bbox": [ + 166, + 586, + 192, + 595 + ], + "score": 0.89, + "content": "0 \\overline { { 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 585, + 261, + 597 + ], + "score": 1.0, + "content": "with probability", + "type": "text" + }, + { + "bbox": [ + 261, + 587, + 268, + 596 + ], + "score": 0.8, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 585, + 458, + 597 + ], + "score": 1.0, + "content": "in the CIFAR-10 train set for varying levels of", + "type": "text" + }, + { + "bbox": [ + 459, + 587, + 465, + 596 + ], + "score": 0.75, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 585, + 505, + 597 + ], + "score": 1.0, + "content": ". We then", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 86, + 595, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 86, + 599, + 99, + 608 + ], + "score": 1.0, + "content": "267", + "type": "text" + }, + { + "bbox": [ + 104, + 595, + 139, + 610 + ], + "score": 1.0, + "content": "observe", + "type": "text" + }, + { + "bbox": [ + 140, + 596, + 147, + 608 + ], + "score": 0.81, + "content": "\\widehat { p } .", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 595, + 375, + 610 + ], + "score": 1.0, + "content": ", the fraction of samples mislabeled by this network from", + "type": "text" + }, + { + "bbox": [ + 376, + 596, + 403, + 606 + ], + "score": 0.89, + "content": "0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 595, + 489, + 610 + ], + "score": 1.0, + "content": "in the test set (Figure", + "type": "text" + }, + { + "bbox": [ + 489, + 595, + 505, + 609 + ], + "score": 0.7, + "content": "3 \\mathsf { A }", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 85, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 85, + 609, + 100, + 619 + ], + "score": 1.0, + "content": "268", + "type": "text" + }, + { + "bbox": [ + 106, + 607, + 134, + 619 + ], + "score": 1.0, + "content": "shows", + "type": "text" + }, + { + "bbox": [ + 134, + 609, + 141, + 618 + ], + "score": 0.81, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 607, + 169, + 619 + ], + "score": 1.0, + "content": "versus", + "type": "text" + }, + { + "bbox": [ + 170, + 607, + 178, + 618 + ], + "score": 0.79, + "content": "\\widehat { p } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "). The Bayes optimal classifier for this distribution behaves as a step function (in", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 86, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 86, + 620, + 99, + 629 + ], + "score": 1.0, + "content": "269", + "type": "text" + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "bred), and a classifier that obeys Conjecture 1 exactly would follow the diagonal (in green). The actual", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 86, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 86, + 631, + 99, + 640 + ], + "score": 1.0, + "content": "270", + "type": "text" + }, + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "experiment (in blue) is close to the behavior predicted by Conjecture 1. This experiment shows a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 86, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 86, + 642, + 99, + 651 + ], + "score": 1.0, + "content": "271", + "type": "text" + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "contrast with classical learning theory. While most existing theory focuses on whether classifiers", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 86, + 650, + 507, + 663 + ], + "spans": [ + { + "bbox": [ + 86, + 653, + 99, + 662 + ], + "score": 1.0, + "content": "272", + "type": "text" + }, + { + "bbox": [ + 104, + 650, + 507, + 663 + ], + "score": 1.0, + "content": "converge to the Bayes optimal solution, we show that interpolating classifiers behave “optimally” in a", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 85, + 661, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 85, + 663, + 100, + 673 + ], + "score": 1.0, + "content": "273", + "type": "text" + }, + { + "bbox": [ + 105, + 661, + 505, + 675 + ], + "score": 1.0, + "content": "different sense: they match the distribution of their train set. We discuss this further in Section 5. See", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 85, + 672, + 460, + 685 + ], + "spans": [ + { + "bbox": [ + 85, + 674, + 100, + 685 + ], + "score": 1.0, + "content": "274", + "type": "text" + }, + { + "bbox": [ + 104, + 672, + 460, + 685 + ], + "score": 1.0, + "content": "Appendix C.4 for more experiments, including other classifiers such as Decisions Trees.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 87, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 86, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 86, + 690, + 100, + 700 + ], + "score": 1.0, + "content": "275", + "type": "text" + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "Multiple features: Conjecture 1 states that the network should be automatically calibrated for", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 87, + 700, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 87, + 702, + 100, + 711 + ], + "score": 1.0, + "content": "276", + "type": "text" + }, + { + "bbox": [ + 104, + 700, + 505, + 711 + ], + "score": 1.0, + "content": "all distinguishable features, without any explicit labels for them. 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Feature Calibration turns this into a concrete conjecture.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 96, + 617, + 355, + 629 + ], + "lines": [ + { + "bbox": [ + 92, + 617, + 354, + 630 + ], + "spans": [ + { + "bbox": [ + 92, + 617, + 354, + 630 + ], + "score": 1.0, + "content": "15 5.1 Feature Calibration as Distributional Generalization", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 97, + 636, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 637, + 506, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 650 + ], + "score": 1.0, + "content": "We can write our Feature Calibration Conjecture as a special case of Distributional Generalization,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 219, + 661 + ], + "score": 1.0, + "content": "for a certain family of tests", + "type": "text" + }, + { + "bbox": [ + 219, + 649, + 228, + 659 + ], + "score": 0.81, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 648, + 405, + 661 + ], + "score": 1.0, + "content": ". 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In fact, we will also give preliminary evidence that this new notion can apply even for", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 303, + 326, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 326, + 315 + ], + "score": 1.0, + "content": "non-interpolating methods, unlike Feature Calibration.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 270, + 506, + 315 + ] + }, + { + "type": "index", + "bbox": [ + 96, + 319, + 504, + 342 + ], + "lines": [ + { + "bbox": [ + 94, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 94, + 318, + 172, + 332 + ], + "score": 1.0, + "content": "7 A trained model", + "type": "text" + }, + { + "bbox": [ + 172, + 320, + 180, + 331 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "obeys classical generalization (with respect to test error) if its error on the train set", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 93, + 329, + 471, + 343 + ], + "spans": [ + { + "bbox": [ + 93, + 329, + 471, + 343 + ], + "score": 1.0, + "content": "98 is close to its error on the test distribution. We first rewrite this using our definitions below.", + "type": "text" + } + ], + "index": 20, + "is_list_start_line": true + } + ], + "index": 19.5, + "bbox_fs": [ + 93, + 318, + 506, + 343 + ] + }, + { + "type": "text", + "bbox": [ + 98, + 346, + 464, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 466, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 277, + 360 + ], + "score": 1.0, + "content": "Classical Generalization (informal): Let", + "type": "text" + }, + { + "bbox": [ + 278, + 347, + 285, + 358 + ], + "score": 0.75, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 344, + 399, + 360 + ], + "score": 1.0, + "content": "be a trained classifier. 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The confusion matrices", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 247, + 444, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 444, + 261 + ], + "score": 1.0, + "content": "on the train set (top row) and test set (bottom row) remain close throughout training.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 87, + 280, + 505, + 336 + ], + "lines": [ + { + "bbox": [ + 86, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 86, + 282, + 100, + 293 + ], + "score": 1.0, + "content": "322", + "type": "text" + }, + { + "bbox": [ + 104, + 280, + 133, + 294 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 281, + 144, + 291 + ], + "score": 0.79, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 280, + 235, + 294 + ], + "score": 1.0, + "content": "is the set of functions", + "type": "text" + }, + { + "bbox": [ + 235, + 281, + 371, + 293 + ], + "score": 0.84, + "content": "\\mathcal T : = \\{ T : T ( x , y ) = g ( L ( x ) , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 280, + 379, + 294 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 380, + 281, + 503, + 293 + ], + "score": 0.26, + "content": "L \\in \\mathcal { L } , g : \\mathcal { X } \\times \\mathcal { Y } [ 0 , 1 ] \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 280, + 506, + 294 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 86, + 289, + 502, + 307 + ], + "spans": [ + { + "bbox": [ + 86, + 294, + 99, + 303 + ], + "score": 1.0, + "content": "323", + "type": "text" + }, + { + "bbox": [ + 104, + 289, + 259, + 307 + ], + "score": 1.0, + "content": "For interpolating classifiers, we have", + "type": "text" + }, + { + "bbox": [ + 260, + 293, + 298, + 303 + ], + "score": 0.91, + "content": "\\mathcal { D } \\equiv \\mathcal { D } _ { \\mathrm { t r } }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 289, + 371, + 307 + ], + "score": 1.0, + "content": ", and so Equation", + "type": "text" + }, + { + "bbox": [ + 371, + 292, + 384, + 304 + ], + "score": 0.81, + "content": "\\textcircled { 9 }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 289, + 451, + 307 + ], + "score": 1.0, + "content": "is equivalent to", + "type": "text" + }, + { + "bbox": [ + 451, + 291, + 502, + 304 + ], + "score": 0.85, + "content": "\\mathcal { D } _ { \\mathrm { t e } } \\approx _ { \\varepsilon } ^ { \\mathcal { T } } \\mathcal { D } _ { \\mathrm { t r } }", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 86, + 300, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 86, + 305, + 100, + 314 + ], + "score": 1.0, + "content": "324", + "type": "text" + }, + { + "bbox": [ + 104, + 300, + 506, + 317 + ], + "score": 1.0, + "content": "which is a statement of Distributional Generalization. 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Here", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "we informally discuss how to extend our results beyond interpolating methods. The discussion in this", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 392, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 403 + ], + "score": 1.0, + "content": "section is not as precise as in previous sections, and is only meant to suggest that our abstraction of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 401, + 349, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 349, + 415 + ], + "score": 1.0, + "content": "Distributional Generalization can be useful in other settings.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 104, + 417, + 503, + 451 + ], + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "score": 1.0, + "content": "For non-interpolating classifiers, we may still expect that they behave similarly on their test and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 428, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 181, + 442 + ], + "score": 1.0, + "content": "train sets – that is,", + "type": "text" + }, + { + "bbox": [ + 181, + 428, + 232, + 440 + ], + "score": 0.92, + "content": "\\mathcal { D } _ { \\mathrm { t e } } \\approx ^ { \\tau } \\mathcal { D } _ { \\mathrm { t r } }", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 428, + 330, + 442 + ], + "score": 1.0, + "content": "for some family of tests", + "type": "text" + }, + { + "bbox": [ + 330, + 429, + 339, + 439 + ], + "score": 0.8, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 428, + 505, + 442 + ], + "score": 1.0, + "content": ". 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As the network is trained for longer, it", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 85, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 85, + 593, + 100, + 604 + ], + "score": 1.0, + "content": "344", + "type": "text" + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "fits more of the noise on the train set, and this noise is mirrored almost identically on the test set. Full", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 85, + 602, + 459, + 615 + ], + "spans": [ + { + "bbox": [ + 85, + 604, + 100, + 615 + ], + "score": 1.0, + "content": "345", + "type": "text" + }, + { + "bbox": [ + 105, + 602, + 459, + 615 + ], + "score": 1.0, + "content": "experimental details, and an analogous experiment for kernels, are given in Appendix B.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 92, + 630, + 183, + 643 + ], + "lines": [ + { + "bbox": [ + 88, + 628, + 184, + 645 + ], + "spans": [ + { + "bbox": [ + 88, + 628, + 184, + 645 + ], + "score": 1.0, + "content": "346 6 Conclusion", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 91, + 654, + 506, + 721 + ], + "lines": [ + { + "bbox": [ + 89, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 89, + 656, + 99, + 665 + ], + "score": 1.0, + "content": "347", + "type": "text" + }, + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "This work initiates the study of a new kind of generalization— Distributional Generalization— which", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 88, + 665, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 88, + 667, + 100, + 676 + ], + "score": 1.0, + "content": "348", + "type": "text" + }, + { + "bbox": [ + 106, + 665, + 505, + 677 + ], + "score": 1.0, + "content": "considers the entire input-output behavior of classifiers, instead of just their test error. We presented", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 88, + 676, + 507, + 689 + ], + "spans": [ + { + "bbox": [ + 88, + 678, + 100, + 688 + ], + "score": 1.0, + "content": "349", + "type": "text" + }, + { + "bbox": [ + 105, + 676, + 507, + 689 + ], + "score": 1.0, + "content": "both new empirical behaviors, and new formal conjectures which characterize these behaviors.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 88, + 687, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 88, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "350", + "type": "text" + }, + { + "bbox": [ + 105, + 687, + 506, + 698 + ], + "score": 1.0, + "content": "Roughly, our conjecture states that the outputs of classifiers on the test set are “close in distribution”", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 88, + 698, + 506, + 710 + ], + "spans": [ + { + "bbox": [ + 88, + 700, + 99, + 709 + ], + "score": 1.0, + "content": "351", + "type": "text" + }, + { + "bbox": [ + 105, + 698, + 506, + 710 + ], + "score": 1.0, + "content": "to their outputs on the train set. 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The confusion matrices", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 247, + 444, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 444, + 261 + ], + "score": 1.0, + "content": "on the train set (top row) and test set (bottom row) remain close throughout training.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "index", + "bbox": [ + 87, + 280, + 505, + 336 + ], + "lines": [ + { + "bbox": [ + 86, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 86, + 282, + 100, + 293 + ], + "score": 1.0, + "content": "322", + "type": "text" + }, + { + "bbox": [ + 104, + 280, + 133, + 294 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 281, + 144, + 291 + ], + "score": 0.79, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 280, + 235, + 294 + ], + "score": 1.0, + "content": "is the set of functions", + "type": "text" + }, + { + "bbox": [ + 235, + 281, + 371, + 293 + ], + "score": 0.84, + "content": "\\mathcal T : = \\{ T : T ( x , y ) = g ( L ( x ) , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 280, + 379, + 294 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 380, + 281, + 503, + 293 + ], + "score": 0.26, + "content": "L \\in \\mathcal { L } , g : \\mathcal { X } \\times \\mathcal { Y } [ 0 , 1 ] \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 280, + 506, + 294 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 289, + 502, + 307 + ], + "spans": [ + { + "bbox": [ + 86, + 294, + 99, + 303 + ], + "score": 1.0, + "content": "323", + "type": "text" + }, + { + "bbox": [ + 104, + 289, + 259, + 307 + ], + "score": 1.0, + "content": "For interpolating classifiers, we have", + "type": "text" + }, + { + "bbox": [ + 260, + 293, + 298, + 303 + ], + "score": 0.91, + "content": "\\mathcal { D } \\equiv \\mathcal { D } _ { \\mathrm { t r } }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 289, + 371, + 307 + ], + "score": 1.0, + "content": ", and so Equation", + "type": "text" + }, + { + "bbox": [ + 371, + 292, + 384, + 304 + ], + "score": 0.81, + "content": "\\textcircled { 9 }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 289, + 451, + 307 + ], + "score": 1.0, + "content": "is equivalent to", + "type": "text" + }, + { + "bbox": [ + 451, + 291, + 502, + 304 + ], + "score": 0.85, + "content": "\\mathcal { D } _ { \\mathrm { t e } } \\approx _ { \\varepsilon } ^ { \\mathcal { T } } \\mathcal { D } _ { \\mathrm { t r } }", + "type": "inline_equation" + } + ], + "index": 6, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 300, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 86, + 305, + 100, + 314 + ], + "score": 1.0, + "content": "324", + "type": "text" + }, + { + "bbox": [ + 104, + 300, + 506, + 317 + ], + "score": 1.0, + "content": "which is a statement of Distributional Generalization. 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Here", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "we informally discuss how to extend our results beyond interpolating methods. The discussion in this", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 392, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 403 + ], + "score": 1.0, + "content": "section is not as precise as in previous sections, and is only meant to suggest that our abstraction of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 401, + 349, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 349, + 415 + ], + "score": 1.0, + "content": "Distributional Generalization can be useful in other settings.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 369, + 506, + 415 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 417, + 503, + 451 + ], + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "score": 1.0, + "content": "For non-interpolating classifiers, we may still expect that they behave similarly on their test and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 428, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 181, + 442 + ], + "score": 1.0, + "content": "train sets – that is,", + "type": "text" + }, + { + "bbox": [ + 181, + 428, + 232, + 440 + ], + "score": 0.92, + "content": "\\mathcal { D } _ { \\mathrm { t e } } \\approx ^ { \\tau } \\mathcal { D } _ { \\mathrm { t r } }", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 428, + 330, + 442 + ], + "score": 1.0, + "content": "for some family of tests", + "type": "text" + }, + { + "bbox": [ + 330, + 429, + 339, + 439 + ], + "score": 0.8, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 428, + 505, + 442 + ], + "score": 1.0, + "content": ". 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However, we give experimental", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 86, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 86, + 540, + 99, + 548 + ], + "score": 1.0, + "content": "339", + "type": "text" + }, + { + "bbox": [ + 105, + 537, + 312, + 550 + ], + "score": 1.0, + "content": "evidence suggesting some refinement of Conjecture", + "type": "text" + }, + { + "bbox": [ + 312, + 537, + 321, + 550 + ], + "score": 0.67, + "content": "2", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 537, + 388, + 550 + ], + "score": 1.0, + "content": "is true. 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As the network is trained for longer, it", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 85, + 593, + 100, + 604 + ], + "score": 1.0, + "content": "344", + "type": "text" + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "fits more of the noise on the train set, and this noise is mirrored almost identically on the test set. Full", + "type": "text" + } + ], + "index": 28, + "is_list_start_line": true + }, + { + "bbox": [ + 85, + 602, + 459, + 615 + ], + "spans": [ + { + "bbox": [ + 85, + 604, + 100, + 615 + ], + "score": 1.0, + "content": "345", + "type": "text" + }, + { + "bbox": [ + 105, + 602, + 459, + 615 + ], + "score": 1.0, + "content": "experimental details, and an analogous experiment for kernels, are given in Appendix B.", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + } + ], + "index": 25, + "bbox_fs": [ + 84, + 516, + 506, + 615 + ] + }, + { + "type": "title", + "bbox": [ + 92, + 630, + 183, + 643 + ], + "lines": [ + { + "bbox": [ + 88, + 628, + 184, + 645 + ], + "spans": [ + { + "bbox": [ + 88, + 628, + 184, + 645 + ], + "score": 1.0, + "content": "346 6 Conclusion", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "index", + "bbox": [ + 91, + 654, + 506, + 721 + ], + "lines": [ + { + "bbox": [ + 89, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 89, + 656, + 99, + 665 + ], + "score": 1.0, + "content": "347", + "type": "text" + }, + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "This work initiates the study of a new kind of generalization— Distributional Generalization— which", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 665, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 88, + 667, + 100, + 676 + ], + "score": 1.0, + "content": "348", + "type": "text" + }, + { + "bbox": [ + 106, + 665, + 505, + 677 + ], + "score": 1.0, + "content": "considers the entire input-output behavior of classifiers, instead of just their test error. We presented", + "type": "text" + } + ], + "index": 32, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 676, + 507, + 689 + ], + "spans": [ + { + "bbox": [ + 88, + 678, + 100, + 688 + ], + "score": 1.0, + "content": "349", + "type": "text" + }, + { + "bbox": [ + 105, + 676, + 507, + 689 + ], + "score": 1.0, + "content": "both new empirical behaviors, and new formal conjectures which characterize these behaviors.", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 687, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 88, + 689, + 100, + 699 + ], + "score": 1.0, + "content": "350", + "type": "text" + }, + { + "bbox": [ + 105, + 687, + 506, + 698 + ], + "score": 1.0, + "content": "Roughly, our conjecture states that the outputs of classifiers on the test set are “close in distribution”", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 88, + 698, + 506, + 710 + ], + "spans": [ + { + "bbox": [ + 88, + 700, + 99, + 709 + ], + "score": 1.0, + "content": "351", + "type": "text" + }, + { + "bbox": [ + 105, + 698, + 506, + 710 + ], + "score": 1.0, + "content": "to their outputs on the train set. 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For all authors...", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 146, + 107, + 505, + 201 + ], + "lines": [ + { + "bbox": [ + 146, + 107, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 146, + 107, + 505, + 120 + ], + "score": 1.0, + "content": "(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 162, + 118, + 288, + 131 + ], + "spans": [ + { + "bbox": [ + 162, + 118, + 288, + 131 + ], + "score": 1.0, + "content": "contributions and scope? [Yes]", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 144, + 130, + 376, + 144 + ], + "spans": [ + { + "bbox": [ + 144, + 130, + 376, + 144 + ], + "score": 1.0, + "content": "(b) Did you describe the limitations of your work? [Yes]", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 146, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 146, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "(c) Did you discuss any potential negative societal impacts of your work? [No] This paper", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 161, + 154, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 161, + 154, + 505, + 168 + ], + "score": 1.0, + "content": "does not introduce any new methods or applications, and we thus cannot predict any", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 161, + 166, + 355, + 179 + ], + "spans": [ + { + "bbox": [ + 161, + 166, + 355, + 179 + ], + "score": 1.0, + "content": "near-term societal impact (positive or negative).", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 144, + 177, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 144, + 177, + 505, + 192 + ], + "score": 1.0, + "content": "(d) Have you read the ethics review guidelines and ensured that your paper conforms to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 161, + 187, + 214, + 203 + ], + "spans": [ + { + "bbox": [ + 161, + 187, + 214, + 203 + ], + "score": 1.0, + "content": "them? [Yes]", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 131, + 204, + 302, + 216 + ], + "lines": [ + { + "bbox": [ + 129, + 204, + 304, + 218 + ], + "spans": [ + { + "bbox": [ + 129, + 204, + 304, + 218 + ], + "score": 1.0, + "content": "2. If you are including theoretical results...", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 145, + 219, + 449, + 244 + ], + "lines": [ + { + "bbox": [ + 145, + 219, + 450, + 232 + ], + "spans": [ + { + "bbox": [ + 145, + 219, + 450, + 232 + ], + "score": 1.0, + "content": "(a) Did you state the full set of assumptions of all theoretical results? [Yes]", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 145, + 231, + 421, + 245 + ], + "spans": [ + { + "bbox": [ + 145, + 231, + 421, + 245 + ], + "score": 1.0, + "content": "(b) Did you include complete proofs of all theoretical results? [Yes]", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 131, + 247, + 241, + 259 + ], + "lines": [ + { + "bbox": [ + 128, + 245, + 243, + 261 + ], + "spans": [ + { + "bbox": [ + 128, + 245, + 243, + 261 + ], + "score": 1.0, + "content": "3. If you ran experiments...", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 146, + 263, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 145, + 262, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 145, + 262, + 506, + 275 + ], + "score": 1.0, + "content": "(a) Did you include the code, data, and instructions needed to reproduce the main ex-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 161, + 273, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 161, + 273, + 505, + 285 + ], + "score": 1.0, + "content": "perimental results (either in the supplemental material or as a URL)? [No] No new", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 162, + 285, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 162, + 285, + 505, + 296 + ], + "score": 1.0, + "content": "methods were introduced, so the code is standard. We fully specify all experimental", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 162, + 295, + 345, + 307 + ], + "spans": [ + { + "bbox": [ + 162, + 295, + 345, + 307 + ], + "score": 1.0, + "content": "hyperparameters for the sake of reproduction.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 146, + 307, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 146, + 307, + 505, + 321 + ], + "score": 1.0, + "content": "(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 162, + 319, + 246, + 331 + ], + "spans": [ + { + "bbox": [ + 162, + 319, + 246, + 331 + ], + "score": 1.0, + "content": "were chosen)? [Yes]", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 146, + 332, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 146, + 332, + 506, + 344 + ], + "score": 1.0, + "content": "(c) Did you report error bars (e.g., with respect to the random seed after running experi-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 161, + 343, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 161, + 343, + 505, + 354 + ], + "score": 1.0, + "content": "ments multiple times)? [No] The experiments we consider all exhibit concentration", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 161, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 161, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "around their expected values, and this is well-known in the community. Notably, we", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 162, + 363, + 302, + 378 + ], + "spans": [ + { + "bbox": [ + 162, + 363, + 302, + 378 + ], + "score": 1.0, + "content": "only consider supervised learning.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 146, + 376, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 146, + 376, + 505, + 390 + ], + "score": 1.0, + "content": "(d) Did you include the total amount of compute and the type of resources used (e.g., type", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 162, + 388, + 367, + 401 + ], + "spans": [ + { + "bbox": [ + 162, + 388, + 367, + 401 + ], + "score": 1.0, + "content": "of GPUs, internal cluster, or cloud provider)? 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[No]", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 145, + 442, + 504, + 457 + ], + "spans": [ + { + "bbox": [ + 145, + 442, + 504, + 457 + ], + "score": 1.0, + "content": "(c) Did you include any new assets either in the supplemental material or as a URL? [No]", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 146, + 457, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 146, + 457, + 505, + 469 + ], + "score": 1.0, + "content": "(d) Did you discuss whether and how consent was obtained from people whose data you’re", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 162, + 468, + 248, + 480 + ], + "spans": [ + { + "bbox": [ + 162, + 468, + 248, + 480 + ], + "score": 1.0, + "content": "using/curating? 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For all authors...", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 129, + 91, + 210, + 105 + ] + }, + { + "type": "list", + "bbox": [ + 146, + 107, + 505, + 201 + ], + "lines": [ + { + "bbox": [ + 146, + 107, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 146, + 107, + 505, + 120 + ], + "score": 1.0, + "content": "(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s", + "type": "text" + } + ], + "index": 1, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 118, + 288, + 131 + ], + "spans": [ + { + "bbox": [ + 162, + 118, + 288, + 131 + ], + "score": 1.0, + "content": "contributions and scope? [Yes]", + "type": "text" + } + ], + "index": 2, + "is_list_end_line": true + }, + { + "bbox": [ + 144, + 130, + 376, + 144 + ], + "spans": [ + { + "bbox": [ + 144, + 130, + 376, + 144 + ], + "score": 1.0, + "content": "(b) Did you describe the limitations of your work? [Yes]", + "type": "text" + } + ], + "index": 3, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 146, + 143, + 506, + 157 + ], + "spans": [ + { + "bbox": [ + 146, + 143, + 506, + 157 + ], + "score": 1.0, + "content": "(c) Did you discuss any potential negative societal impacts of your work? [No] This paper", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 161, + 154, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 161, + 154, + 505, + 168 + ], + "score": 1.0, + "content": "does not introduce any new methods or applications, and we thus cannot predict any", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 161, + 166, + 355, + 179 + ], + "spans": [ + { + "bbox": [ + 161, + 166, + 355, + 179 + ], + "score": 1.0, + "content": "near-term societal impact (positive or negative).", + "type": "text" + } + ], + "index": 6, + "is_list_end_line": true + }, + { + "bbox": [ + 144, + 177, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 144, + 177, + 505, + 192 + ], + "score": 1.0, + "content": "(d) Have you read the ethics review guidelines and ensured that your paper conforms to", + "type": "text" + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 161, + 187, + 214, + 203 + ], + "spans": [ + { + "bbox": [ + 161, + 187, + 214, + 203 + ], + "score": 1.0, + "content": "them? 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If you ran experiments...", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12, + "bbox_fs": [ + 128, + 245, + 243, + 261 + ] + }, + { + "type": "list", + "bbox": [ + 146, + 263, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 145, + 262, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 145, + 262, + 506, + 275 + ], + "score": 1.0, + "content": "(a) Did you include the code, data, and instructions needed to reproduce the main ex-", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 161, + 273, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 161, + 273, + 505, + 285 + ], + "score": 1.0, + "content": "perimental results (either in the supplemental material or as a URL)? [No] No new", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 162, + 285, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 162, + 285, + 505, + 296 + ], + "score": 1.0, + "content": "methods were introduced, so the code is standard. We fully specify all experimental", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 162, + 295, + 345, + 307 + ], + "spans": [ + { + "bbox": [ + 162, + 295, + 345, + 307 + ], + "score": 1.0, + "content": "hyperparameters for the sake of reproduction.", + "type": "text" + } + ], + "index": 16, + "is_list_end_line": true + }, + { + "bbox": [ + 146, + 307, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 146, + 307, + 505, + 321 + ], + "score": 1.0, + "content": "(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 319, + 246, + 331 + ], + "spans": [ + { + "bbox": [ + 162, + 319, + 246, + 331 + ], + "score": 1.0, + "content": "were chosen)? [Yes]", + "type": "text" + } + ], + "index": 18, + "is_list_end_line": true + }, + { + "bbox": [ + 146, + 332, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 146, + 332, + 506, + 344 + ], + "score": 1.0, + "content": "(c) Did you report error bars (e.g., with respect to the random seed after running experi-", + "type": "text" + } + ], + "index": 19, + "is_list_start_line": true + }, + { + "bbox": [ + 161, + 343, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 161, + 343, + 505, + 354 + ], + "score": 1.0, + "content": "ments multiple times)? [No] The experiments we consider all exhibit concentration", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 161, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 161, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "around their expected values, and this is well-known in the community. Notably, we", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 162, + 363, + 302, + 378 + ], + "spans": [ + { + "bbox": [ + 162, + 363, + 302, + 378 + ], + "score": 1.0, + "content": "only consider supervised learning.", + "type": "text" + } + ], + "index": 22, + "is_list_end_line": true + }, + { + "bbox": [ + 146, + 376, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 146, + 376, + 505, + 390 + ], + "score": 1.0, + "content": "(d) Did you include the total amount of compute and the type of resources used (e.g., type", + "type": "text" + } + ], + "index": 23, + "is_list_start_line": true + }, + { + "bbox": [ + 162, + 388, + 367, + 401 + ], + "spans": [ + { + "bbox": [ + 162, + 388, + 367, + 401 + ], + "score": 1.0, + "content": "of GPUs, internal cluster, or cloud provider)? 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[Yes]", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 145, + 430, + 355, + 443 + ], + "spans": [ + { + "bbox": [ + 145, + 430, + 355, + 443 + ], + "score": 1.0, + "content": "(b) Did you mention the license of the assets? [No]", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 145, + 442, + 504, + 457 + ], + "spans": [ + { + "bbox": [ + 145, + 442, + 504, + 457 + ], + "score": 1.0, + "content": "(c) Did you include any new assets either in the supplemental material or as a URL? 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NON-AUTOREGRESSIVE DIALOG STATE TRACKING + +Hung Le‡∗, Richard Socher†, Steven C.H. Hoi† † Salesforce Research {rsocher,shoi}@salesforce.com $\ddagger$ Singapore Management University hungle.2018@phdcs.smu.edu.sg + +# ABSTRACT + +Recent efforts in Dialogue State Tracking (DST) for task-oriented dialogues have progressed toward open-vocabulary or generation-based approaches where the models can generate slot value candidates from the dialogue history itself. These approaches have shown good performance gain, especially in complicated dialogue domains with dynamic slot values. However, they fall short in two aspects: (1) they do not allow models to explicitly learn signals across domains and slots to detect potential dependencies among (domain, slot) pairs; and (2) existing models follow auto-regressive approaches which incur high time cost when the dialogue evolves over multiple domains and multiple turns. In this paper, we propose a novel framework of Non-Autoregressive Dialog State Tracking (NADST) which can factor in potential dependencies among domains and slots to optimize the models towards better prediction of dialogue states as a complete set rather than separate slots. In particular, the non-autoregressive nature of our method not only enables decoding in parallel to significantly reduce the latency of DST for realtime dialogue response generation, but also detect dependencies among slots at token level in addition to slot and domain level. Our empirical results show that our model achieves the state-of-the-art joint accuracy across all domains on the MultiWOZ 2.1 corpus, and the latency of our model is an order of magnitude lower than the previous state of the art as the dialogue history extends over time. + +# 1 INTRODUCTION + +In task-oriented dialogues, a dialogue agent is required to assist humans for one or many tasks such as finding a restaurant and booking a hotel. As a sample dialogue shown in Table 1, each user utterance typically contains important information identified as slots related to a dialogue domain such as attraction-area and train-day. A crucial part of a task-oriented dialogue system is Dialogue State Tracking (DST), which aims to identify user goals expressed during a conversation in the form of dialogue states. A dialogue state consists of a set of (slot, value) pairs e.g. (attraction-area, centre) and (train-day, tuesday). Existing DST models can be categorized into two types: fixed- and open-vocabulary. Fixed vocabulary models assume known slot ontology and generate a score for each candidate of (slot,value) (Ramadan et al., 2018; Lee et al., 2019). Recent approaches propose open-vocabulary models that can generate the candidates, especially for slots such as entity names and time, from the dialogue history (Lei et al., 2018; Wu et al., 2019). + +Most open-vocabulary DST models rely on autoregressive encoders and decoders, which encode dialogue history sequentially and generate token $t _ { i }$ of individual slot value one by one conditioned on all previously generated tokens $t _ { [ 1 : i - 1 ] }$ . For downstream tasks of DST that emphasize on low latency (e.g. generating real-time dialogue responses), auto-regressive approaches incur expensive time cost as the ongoing dialogues become more complex. The time cost is caused by two major components: length of dialogue history i.e. number of turns, and length of slot values. For complex dialogues extended over many turns and multiple domains, the time cost will increase significantly in both encoding and decoding phases. + +Similar problems can be seen in the field of Neural Machine Translation (NMT) research where a long piece of text is translated from one language to another. Recent work has tried to improve the latency in NMT by using neural network architectures such as convolution (Krizhevsky et al., 2012) and attention (Luong et al., 2015). Several non- and semi-autoregressive approaches aim to generate tokens of the target language independently (Gu et al., 2018; Lee et al., 2018; Kaiser et al., 2018). Motivated by this line of research, we thus propose a non-autoregressive approach to minimize the time cost of DST models without a negative impact on the model performance. + +Table 1: A sample task-oriented dialogue with annotated dialogue states after each user turn. The dialogue states in red and blue denote slots from the attraction domain and train domain respectively. Slot values are expressed in user and system utterances (highlighted by underlined text). + +
Human: Dialog State:i want to visit a theater in the center of town (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:there are 4 matches.ido not have any info on the fees.do you have any other preferences ? no other preferences,i just want to be sure to get the phone number of whichever theatre we pick . (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:irecommendthecambridgecorn exchangethere phone numberis O1223357851.isthere anything elseican helpyou with? yes,i am looking for a tuesday train. (attraction-area,centre),(atraction-name,thecambridgecor exchange),(attraction-type,theatre),(train-day,tuesday)
System: Human:where will you be departing fromand what s your destination ? from cambridge to london liverpool street
Dialog State:(atraction-area,centre),(atraction-name,thecambridgecon exchange),(attraction-type,theatre),(train-day,tuesday), (train-departure, cambridge), (train-destination, london liverpool street)
+ +We adopt the concept of fertility proposed by Gu et al. (2018). Fertility denotes the number of times each input token is copied to form a sequence as the input to the decoder for non-autoregressive decoding. We first reconstruct dialogue state as a sequence of concatenated slot values. The result sequence contains the inherent structured representation in which we can apply the fertility concept. The structure is defined by the boundaries of individual slot values. These boundaries can be easily obtained from dialogue state itself by simply measuring number of the tokens of individual slots. Our model includes a two-stage decoding process: (1) the first decoder learns relevant signals from the input dialogue history and generates a fertility for each input slot representation; and (2) the predicted fertility is used to form a structured sequence which consists of multiple sub-sequences, each represented as (slot token $\times$ slot fertility). The result sequence is used as input to the second decoder to generate all the tokens of the target dialogue state at once. + +In addition to being non-autoregressive, our models explicitly consider dependencies at both slot level and token level. Most of existing DST models assume independence among slots in dialogue states without explicitly considering potential signals across the slots (Wu et al., 2019; Lee et al., 2019; Goel et al., 2019; Gao et al., 2019). However, we hypothesize that it is not true in many cases. For example, a good DST model should detect the relation that train departure should not have the same value as train destination (example in Table 1). Other cases include time-related pairs such as (taxi arriveBy, taxi leaveAt) and cross-domain pairs such as (hotel area, attraction area). Our proposed approach considers all possible signals across all domains and slots to generate a dialogue state as a set. Our approach directly optimizes towards the DST evaluation metric Joint Accuracy (Henderson et al., 2014b), which measures accuracy at state (set of slots) level rather than slot level. + +Our contributions in this work include: (1) we propose a novel framework of Non-Autoregressive Dialog State Tracking (NADST), which explicitly learns inter-dependencies across slots for decoding dialogue states as a complete set rather than individual slots; (2) we propose a non-autoregressive decoding scheme, which not only enjoys low latency for real-time dialogues, but also allows to capture dependencies at token level in addition to slot level; (3) we achieve the state-of-the-art performance on the multi-domain task-oriented dialogue dataset “MultiWOZ 2.1” (Budzianowski et al., 2018; Eric et al., 2019) while significantly reducing the inference latency by an order of magnitude; (4) we conduct extensive ablation studies in which our analysis reveals that our models can detect potential signals across slots and dialogue domains to generate more correct “sets” of slots for DST. + +# 2 RELATED WORK + +Our work is related to two research areas: dialogue state tracking and non-autoregressive decoding. + +# 2.1 DIALOGUE STATE TRACKING + +Dialogue State Tracking (DST) is an important component in task-oriented dialogues, especially for dialogues with complex domains that require fine-grained tracking of relevant slots. Traditionally, + +DST is coupled with Natural Language Understanding (NLU). NLU output as tagged user utterances is input to DST models to update the dialogue states turn by turn (Kurata et al., 2016; Shi et al., 2016; Rastogi et al., 2017). Recent approaches combine NLU and DST to reduce the credit assignment problem and remove the need for NLU (Mrksiˇ c et al., 2017; Xu & Hu, 2018; Zhong et al., 2018). ´ Within this body of research, Goel et al. (2019) differentiates two DST approaches: fixed- and openvocabulary. Fixed-vocabulary approaches are usually retrieval-based methods in which all candidate pairs of (slot, value) from a given slot ontology are considered and the models predict a probability score for each pair (Henderson et al., 2014c; Ramadan et al., 2018; Lee et al., 2019). Recent work has moved towards open-vocabulary approaches that can generate the candidates based on input text i.e. dialogue history (Lei et al., 2018; Gao et al., 2019; Wu et al., 2019). Our work is more related to these models, but different from most of the current work, we explicitly consider dependencies among slots and domains to decode dialogue state as a complete set. + +# 2.2 NON-AUTOREGRESSIVE DECODING + +Most of prior work in non- or semi-autoregressive decoding methods are used for NMT to address the need for fast translation. Schwenk (2012) proposes to estimate the translation model probabilities of a phase-based NMT system. Libovicky & Helcl (2018) formulates the decoding process as \` a sequence labeling task by projecting source sequence into a longer sequence and applying CTC loss (Graves et al., 2006) to decode the target sequence. Wang et al. (2019) adds regularization terms to NAT models (Gu et al., 2018) to reduce translation errors such as repeated tokens and incomplete sentences. Ghazvininejad et al. (2019) uses a non-autoregressive decoder with masked attention to decode target sequences over multiple generation rounds. A common challenge in nonautoregressive NMT is the large number of sequential latent variables, e.g., fertility sequences (Gu et al., 2018) and projected target sequences (Libovicky & Helcl, 2018). These latent variables are \` used as supporting signals for non- or semi-autoregressive decoding. We reformulate dialogue state as a structured sequence with sub-sequences defined as a concatenation of slot values. This form of dialogue state can be inferred easily from the dialogue state annotation itself whereas such supervision information is not directly available in NMT. The lower semantic complexity of slot values as compared to long sentences in NMT makes it easier to adopt non-autoregressive approaches into DST. According to our review, we are the first to apply a non-autoregressive framework for generation-based DST. Our approach allows joint state tracking across slots, which results in better performance and an order of magnitude lower latency during inference. + +# 3 APPROACH + +Our NADST model is composed of three parts: encoders, fertility decoder, and state decoder, as shown in Figure 1. The input includes the dialogue history $\boldsymbol { X } = ( x _ { 1 } , . . . , x _ { N } )$ and a sequence of applicable (domain, slot) pairs $X _ { \mathrm { d s } } = ( ( d _ { 1 } , s _ { 1 } ) , . . . , ( d _ { G } , s _ { H } ) )$ , where $G$ and $H$ are the total numbers of domains and slots, respectively. The output is the corresponding dialogue states up to the current dialogue history. Conventionally, the output of dialogue state is denoted as tuple (slot, value) (or (domain-slot, value) for multi-domain dialogues). We reformulate the output as a concatenation of slot values $Y ^ { d _ { i } , s _ { j } } \colon Y = ( Y ^ { d _ { 1 } , s _ { 1 } } , . . . , Y ^ { d _ { I } , s _ { J } } ) = ( y _ { 1 } ^ { d _ { 1 } , s _ { 1 } } , y _ { 2 } ^ { d _ { 1 } , s _ { 1 } } , . . . , y _ { 1 } ^ { d _ { I } , s _ { J } } , y _ { 2 } ^ { d _ { I } , s _ { J } } , . . . )$ where $I$ and $J$ are the numbers of domains and slots in the output dialogue state, respectively. + +First, the encoders use token-level embedding and positional encoding to encode the input dialogue history and (domain, slot) pairs into continuous representations. The encoded domains and slots are then input to stacked self-attention and feed-forward network to obtain relevant signals across dialogue history and generate a fertility $Y _ { f } ^ { d _ { g } , s _ { h } }$ for each (domain, slot) pair $\left( d _ { g } , s _ { h } \right)$ . The output of fertility decoder is defined as a sequence: Yfert = Y d1,s1f , $Y _ { \mathrm { f e r t } } = Y _ { f } ^ { d _ { 1 } , s _ { 1 } } , . . . , Y _ { f } ^ { d _ { G } , s _ { H } }$ where $Y _ { f } ^ { d _ { g } , d _ { h } } \in$ $\{ 0 , \mathrm { { m a x } ( \mathrm { { S l o t L e n g t h } ) } } \}$ . For example, for the MultiWOZ dataset in our experiments, we have $\mathrm { { m a x } ( S l o t L e n g t h ) = 9 }$ according to the training data. We follow (Wu et al., 2019; Gao et al., 2019) to add a slot gating mechanism as an auxiliary prediction. Each gate $g$ is restricted to 3 possible values: “none”, “dontcare” and “generate”. They are used to form higher-level classification signals to support fertility decoding process. The gate output is defined as a sequence: $Y _ { \mathrm { g a t e } } = Y _ { g } ^ { d _ { 1 } , s _ { 1 } } , . . . , Y _ { g } ^ { d _ { G } , s _ { H } }$ . + +The predicted fertilities are used to form an input sequence to the state decoder for nonautoregressive decoding. The sequence includes sub-sequences of $( d _ { g } , s _ { h } )$ repeated by $Y _ { f } ^ { d _ { g } , s _ { h } }$ times and concatenated sequentially: Xds×fert = ((d1, s1)Y d1,s1f , $X _ { \mathrm { d s } \times \mathrm { f e r t } } = ( ( d _ { 1 } , s _ { 1 } ) ^ { Y _ { f } ^ { d _ { 1 } , s _ { 1 } } } , . . . , ( d _ { G } , s _ { H } ) ^ { Y _ { f } ^ { d _ { G } , s _ { H } } } )$ and $\| X _ { \mathrm { d s } \times \mathrm { f e r t } } \| =$ $\| Y \|$ . The decoder projects this sequence through attention layers with dialogue history. During this decoding process, we maintain a memory of hidden states of dialogue history. The output from the state decoder is used as a query to attend on this memory and copy tokens from the dialogue history to generate a dialogue state. + +Following Lei et al. (2018), we incorporate information from previous dialogue turns to predict current turn state by using a partially delexicalized dialogue history $X _ { \mathrm { d e l } } = ( x _ { 1 , \mathrm { d e l } } , . . . , x _ { N , \mathrm { d e l } } )$ as an input of the model. The dialogue history is delexicalized till the last system utterance by removing real-value tokens that match the previously decoded slot values to tokens expressed as domain-slot. Given a token $x _ { n }$ and the current dialogue turn $t$ , the token is delexicalized as follows: + +$$ +\begin{array} { r l } & { x _ { n , \mathrm { d e l } } = \mathrm { d e l e x } ( x _ { n } ) = \left\{ \begin{array} { l l } { \mathrm { d o m a i n } _ { \mathrm { i d x } } \mathrm { - s l o t } _ { \mathrm { i d x } } , } & { \mathrm { i f ~ } x _ { n } \subset \hat { Y } _ { t - 1 } . } \\ { x _ { n } , } & { \mathrm { o t h e r w i s e } . } \end{array} \right. } \\ & { \mathrm { l o m a i n } _ { \mathrm { i d x } } = X _ { \mathrm { d s } \times \mathrm { f e r t } } [ \mathrm { i d x } ] [ 0 ] , \quad \mathrm { s l o t } _ { \mathrm { i d x } } = X _ { \mathrm { d s } \times \mathrm { f e r t } } [ \mathrm { i d x } ] [ 1 ] , \quad \mathrm { i d x } = \mathrm { I n d e x } ( x _ { n } , \hat { Y } _ { t - 1 } ) } \end{array} +$$ + +For example, the user utterance “I look for a cheap hotel” is delexicalized to $^ { 6 6 } \mathrm { I }$ look for a hotel pricerange hotel.” if the slot hotel pricerange is predicted as “cheap” in the previous turn. This approach makes use of the delexicalized form of dialogue history while not relying on an NLU module as we utilize the predicted state from DST model itself. In addition to the belief state, we also use the system action in the previous turn to delexicalize the dialog history in a similar manner, following prior work (Rastogi et al., 2017; Zhong et al., 2018; Goel et al., 2019). + +![](images/f5241c351fcdba9b369b18e79d320b182929c54b686f729cc5306d5379ffd500.jpg) +Figure 1: Our NADST has 3 key components: encoders (“red”), fertility decoder (“blue”), and state decoder (“green”). (i) Encoders encode sequences of dialogue history, delexicalized dialogue history, and domain and slot tokens into continuous representations; (ii) Fertility Decoder has 3 attention mechanisms to learn potential dependencies across (domain, slot) pairs in combination with dialogue history. The output is used to generate fertilities and slot gates; and (iii) State Decoder receives the input sequence including sub-sequences of (domain, slot) $^ { 1 \times }$ fertility to decode a complete dialogue state sequence as concatenation of component slot values. For simplicity, we do not show feedforward, residual connection, and layer-normalization layers in the figure. Best viewed in color. + +# 3.1 ENCODERS + +An encoder is used to embed dialogue history $X$ into a sequence of continuous representations $Z = ( z _ { 1 } , . . . , z _ { N } ) \in \mathbb { R } ^ { N \times d }$ . Similarly, partially delexicalized dialogue history $X _ { d e l }$ is encoded to continuous representations $Z _ { \mathrm { d e l } } \in \dot { \mathbb { R } } ^ { N \times d }$ . We store the encoded dialogue history $Z$ in memory which will be passed to a pointer network to copy words for dialogue state generation. This helps to address the OOV challenge as shown in (See et al., 2017; Wu et al., 2019). We also encode each (domain, slot) pair into continuous representation $z _ { \mathrm { d s } } \in \mathbb { R } ^ { d }$ as input to the decoders. Each vector $z _ { \mathrm { d s } }$ is used to store contextual signals for slot and fertility prediction during the decoding process. + +Context Encoder. Context encoder includes a token-level trainable embedding layer and layer normalization (Ba et al., 2016). The encoder also includes a positional encoding layer which follows sine and cosine functions (Vaswani et al., 2017). An element-wise summation is used to combine the token-level vectors with positional encoded vectors. We share the embedding weights to embed the raw and delexicalized dialogue history. The embedding weights are also shared to encode input to both fertility decoder and state decoder. The final embedding of $X$ and $X _ { d e l }$ is defined as: + +$$ +\begin{array} { c } { Z = Z _ { \mathrm { e m b } } + \mathrm { P E } ( X ) \in \mathbb { R } ^ { N \times d } } \\ { Z _ { \mathrm { d e l } } = Z _ { \mathrm { e m b , d e l } } + \mathrm { P E } ( X _ { \mathrm { d e l } } ) \in \mathbb { R } ^ { N \times d } } \end{array} +$$ + +Domain and Slot Encoder. Each (domain, slot) pair is encoded by using two separate embedding vectors of the corresponding domain and slot. Each domain $g$ and slot $h$ is embedded into a continuous representation $z _ { d _ { g } }$ and $\boldsymbol { z } _ { s _ { h } } \in \mathbb { R } ^ { d }$ . The final vector is combined by element-wise summation: + +$$ +z _ { d _ { g } , s _ { h } } = z _ { d _ { g } } + z _ { s _ { h } } \in \mathbb { R } ^ { d } +$$ + +We share the embedding weights to embed domain and slot tokens in both fertility decoder and state decoder. However, for input to state decoder, we inject sequential information into the input $X _ { \mathrm { d s \times f e r t } }$ to factor in position-wise information to decode target state sequence. In summary, $X _ { \mathrm { d s } }$ and $X _ { \mathrm { d s \times f e r t } }$ is encoded as following: + +$$ +\begin{array} { c } { { Z _ { \mathrm { d s } } = Z _ { \mathrm { e m b , d s } } = z _ { d _ { 1 } , s _ { 1 } } \oplus . . . \oplus z _ { d _ { G } , s _ { H } } } } \\ { { Z _ { \mathrm { d s } \times \mathrm { f e r t } } = Z _ { \mathrm { e m b , d s } \times \mathrm { f e r t } } + \mathrm { P E } ( X _ { \mathrm { d s } \times \mathrm { f e r t } } ) } } \\ { { Z _ { \mathrm { e m b , d s } \times \mathrm { f e r t } } = ( z _ { d _ { 1 } , s _ { 1 } } ) ^ { Y _ { f } ^ { d _ { 1 } , s _ { 1 } } } \oplus . . . \oplus ( z _ { d _ { G } , s _ { H } } ) ^ { Y _ { f } ^ { d _ { G } , s _ { H } } } } } \end{array} +$$ + +where $\oplus$ denotes concatenation operation. Note that different from a typical decoder input in Transformer, we do not shift the input sequences to both fertility decoder and state decoder by one position as we consider non-autoregressive decoding process in both modules. Therefore, all output tokens are generated in position $i$ based on all remaining positions of the sequence i.e. $1 , . . . , i - 1 , i + 1 , . . . \| \bar { X } _ { \mathrm { d s } } \|$ in fertility decoder and $1 , . . . , i - 1 , i + 1 , . . . \| X _ { \mathrm { d s } \times \mathrm { f e r t } } \|$ in state decoder. + +# 3.2 FERTILITY DECODER + +Given the encoded dialogue history $Z$ , delexicalized dialogue history $Z _ { \mathrm { d e l } }$ , and (domain,slot) pairs $Z _ { \mathrm { d s } }$ , the contextual signals are learned and passed into each $z _ { \mathrm { d s } }$ vector through a sequence of attention layers. We adopt the multi-head attention mechanism (Vaswani et al., 2017) to project the representations into multiple sub-spaces. The attention mechanism is defined as scaled dot-product attention between query $Q$ , key $K$ , and value $V$ : + +$$ +\mathrm { A t t e n t i o n } ( Q , K , V ) = \mathrm { s o f t m a x } ( \frac { Q K ^ { T } } { \sqrt { d _ { k } } } V ) +$$ + +Each multi-head attention is followed by a position-wise feed-forward network. The feed-forward is applied to each position separately and identically. We use two linear layers with a ReLU activation in between. The fertility decoder consists of 3 attention layers, each of which learns relevant contextual signals and incorporates them into $z _ { d s }$ vectors as input to the next attention layer: + +$$ +\begin{array} { r l } & { Z _ { \mathrm { d s } } ^ { \mathrm { o u t } } = \mathrm { A t t e n t i o n } ( Z _ { \mathrm { d s } } , Z _ { \mathrm { d s } } , Z _ { \mathrm { d s } } ) \in \mathbb { R } ^ { N \times d } } \\ & { Z _ { \mathrm { d s } } ^ { \mathrm { o u t } } = \mathrm { A t t e n t i o n } ( Z _ { \mathrm { d s } } ^ { \mathrm { o u t } } , Z _ { \mathrm { d e l } } , Z _ { \mathrm { d e l } } ) \in \mathbb { R } ^ { N \times d } } \\ & { Z _ { \mathrm { d s } } ^ { \mathrm { o u t } } = \mathrm { A t t e n t i o n } ( Z _ { \mathrm { d s } } ^ { \mathrm { o u t } } , Z , Z ) \in \mathbb { R } ^ { N \times d } } \end{array} +$$ + +For simplicity, we do not express the multi-head and feed-forward equations. We advise the reader to review Transformer network (Vaswani et al., 2017) for more detailed description. The multi-head structure has shown to obtain good performance in many NLP tasks such as NMT (Vaswani et al., 2017) and QA (Dehghani et al., 2019). By adopting this attention mechanism, we allow the models to explicitly obtain signals of potential dependencies across (domain, slot) pairs in the first attention layer, and contextual dependencies in the subsequent attention layers. Adding the delexicalized dialogue history as input can provide important contextual signals as the models can learn the mapping between real-value tokens and generalized domain-slot tokens. To further improve the model capability to capture these dependencies, we repeat the attention sequence for $T _ { \mathrm { f e r t } }$ times with $Z _ { \mathrm { d s } }$ . In an attentionto compute . $t$ , the output from the previous attentio The output in the last attention layer $t - 1$ is used as input to current layerssed to two independent linear $Z _ { \mathrm { d s } } ^ { t }$ $Z _ { \mathrm { d s } } ^ { \mathrm { T _ { f e r t } } }$ +transformations to predict fertilities and gates: + +$$ +\begin{array} { r } { P ^ { \mathrm { g a t e } } = \mathrm { s o f t m a x } ( W _ { \mathrm { g a t e } } Z _ { \mathrm { d s } } ^ { T _ { \mathrm { f e r t } } } ) } \\ { P ^ { \mathrm { f e r t } } = \mathrm { s o f t m a x } ( W _ { \mathrm { f e r t } } Z _ { \mathrm { d s } } ^ { T _ { \mathrm { f e r t } } } ) } \end{array} +$$ + +where $W _ { \mathrm { g a t e } } ~ \in ~ \mathbb { R } ^ { d \times 3 }$ and $W _ { \mathrm { f e r t } } ~ \in ~ \mathbb { R } ^ { d \times 1 0 }$ . We use the standard cross-entropy loss to train the prediction of gates and fertilities: + +$$ +\begin{array} { r l } & { \mathcal { L } _ { \mathrm { g a t e } } = \displaystyle \sum _ { d _ { g } , s _ { h } } - \log ( P ^ { \mathrm { g a t e } } ( Y _ { g } ^ { d _ { g } , s _ { h } } ) ) } \\ & { \mathcal { L } _ { \mathrm { f e r t } } = \displaystyle \sum _ { d _ { g } , s _ { h } } - \log ( P ^ { \mathrm { f e r t } } ( Y _ { f } ^ { d _ { g } , s _ { h } } ) ) } \end{array} +$$ + +# 3.3 STATE DECODER + +Given the generated gates and fertilities, we form the input sequence $X _ { \mathrm { d s \times f e r t } }$ . We filter out any (domain, slot) pairs that have gate either as “none” or “dontcare”. Given the encoded input $Z _ { \mathrm { d s \times f e r t } }$ , we apply a similar attention sequence as used in the fertility decoder to incorporate contextual signals into each ${ \mathcal { Z } } _ { \mathrm { d s } \times \mathrm { f e r t } }$ vector. The dependencies are captured at the token level in this decoding stage rather than at domain/slot higher level as in the fertility decoder. After repeating the attention sequence for $T _ { \mathrm { s t a t e } }$ times, the final output $Z _ { \mathrm { d s } \times \mathrm { f e r t } } ^ { T _ { \mathrm { s t a t e } } }$ is used to predict the state in the following: + +$$ +P _ { \mathrm { v o c a b } } ^ { \mathrm { s t a t e } } = \mathrm { s o f t m a x } ( W _ { \mathrm { s t a t e } } Z _ { \mathrm { d s } \times \mathrm { f e r t } } ^ { T _ { \mathrm { s t a t e } } } ) +$$ + +where $W _ { s t a t e } \in \mathbb { R } ^ { d \times \lVert V \rVert }$ with $V$ as the set of output vocabulary. As open-vocabulary DST models do not assume a known slot ontology, our models can generate the candidates from the dialogue history itself. To address OOV problem during inference, we incorporate a pointer network (Vinyals et al., 2015) into the Transformer decoder. We apply dot-product attention between the state decoder output and the stored memory of encoded dialogue history $Z$ : + +$$ +P _ { \mathrm { p t r } } ^ { \mathrm { s t a t e } } = \mathrm { s o f t m a x } ( Z _ { \mathrm { d s } \times \mathrm { f e r t } } ^ { T _ { \mathrm { s t a t e } } } Z ^ { T } ) +$$ + +he final probability of predicted state is defined as the weighted sum of the two probabilities: + +$$ +\begin{array} { r l } & { P ^ { \mathrm { s t a t e } } = p _ { \mathrm { g e n } } ^ { \mathrm { s t a t e } } \times P _ { \mathrm { v o c a b } } ^ { \mathrm { s t a t e } } + ( 1 - p _ { \mathrm { g e n } } ^ { \mathrm { s t a t e } } ) \times P _ { \mathrm { p t r } } ^ { \mathrm { s t a t e } } } \\ & { p _ { \mathrm { g e n } } ^ { \mathrm { s t a t e } } = \mathrm { s i g m o i d } ( W _ { \mathrm { g e n } } V _ { \mathrm { g e n } } ) } \\ & { V _ { \mathrm { g e n } } = Z _ { \mathrm { d s } \times \mathrm { f e r t } } \oplus Z _ { \mathrm { d s } \times \mathrm { f e r t } } ^ { T _ { \mathrm { s t a t e } } } \oplus Z _ { \mathrm { e x p } } } \end{array} +$$ + +where $W _ { \mathrm { g e n } } \in \mathbb { R } ^ { 3 d \times 1 }$ and $Z _ { \mathrm { e x p } }$ is the expanded vector of $Z$ to match dimensions of $Z _ { \mathrm { d s \times f e r t } }$ . The final probability is used to train the state generation following the cross-entropy loss function: + +$$ +\mathcal { L } _ { \mathrm { s t a t e } } = \sum _ { d _ { g } , s _ { h } } \sum _ { m = 0 } ^ { Y _ { f } ^ { d _ { g } , s _ { h } } } - \log ( P ^ { \mathrm { s t a t e } } ( y _ { m } ^ { d _ { g } , s _ { h } } ) ) +$$ + +# 3.4 OPTIMIZATION + +We optimize all parameters by jointly training to minimize the weighted sum of the three losses: + +$$ +\mathcal { L } = \mathcal { L } _ { \mathrm { s t a t e } } + \alpha \mathcal { L } _ { \mathrm { g a t e } } + \beta \mathcal { L } _ { \mathrm { f e r t } } +$$ + +where $\alpha \geq 0$ and $\beta \geq 0$ are hyper-parameters. + +# 4 EXPERIMENTS + +# 4.1 DATASET + +MultiWOZ (Budzianowski et al., 2018) is one of the largest publicly available multi-domain taskoriented dialogue dataset with dialogue domains extended over 7 domains. In this paper, we use the new version of the MultiWOZ dataset published by Eric et al. (2019). The new version includes some correction on dialogue state annotation with more than $40 \%$ change across dialogue turns. On average, each dialogue has more than one domain. We pre-processed the dialogues by tokenizing, lower-casing, and delexicalizing all system responses following the pre-processing scripts from (Wu et al., 2019). We identify a total of 35 (domain, slot) pairs. Other details of data pre-processing procedures, corpus statistics, and list of (domain, slot) pairs are described in Appendix A.1. + +# 4.2 TRAINING PROCEDURE + +We use label smoothing (Szegedy et al., 2016) to train the prediction of dialogue state $Y$ but not for prediction of fertilities $Y _ { \mathrm { f e r t } }$ and gates $Y _ { \mathrm { g a t e } }$ . During training, we adopt $100 \%$ teacher-forcing learning strategy by using the ground-truth of $X _ { \mathrm { d s \times f e r t } }$ as input to the state decoder. We also apply the same strategy to obtain delexicalized dialogue history i.e. dialogue history is delexicalized from the ground-truth belief state in previous dialogue turn rather than relying on the predicted belief state. During inference, we follow a similar strategy as (Lei et al., 2018) by generating dialogue state turn-by-turn and use the predicted belief state in turn $t - 1$ to delexicalize dialogue history in turn $t$ . During inference, $X _ { \mathrm { d s } \times \mathrm { f e r t } }$ is also constructed by prediction $\hat { Y } _ { \mathrm { g a t e } }$ and $\hat { Y } _ { \mathrm { f e r t } }$ . We adopt the Adam optimizer (Kingma & Ba, 2015) and the learning rate strategy similarly as (Vaswani et al., 2017). Best models are selected based on the best average joint accuracy of dialogue state prediction in the validation set. All parameters are randomly initialized with uniform distribution (Glorot & Bengio, 2010). We did not utilize any pretrained word- or character-based embedding weights. We tuned the hyper-parameters with grid-search over the validation set (Refer to Appendix A.2 for further details). We implemented our models using PyTorch (Paszke et al., 2017) and released the code on GitHub 1. + +# 4.3 BASELINES + +The DST baselines can be divided into 2 groups: open-vocabulary approach and fixed-vocabulary approach as mentioned in Section 2. Fixed-vocabulary has the advantage of access to the known candidate set of each slot and has a high performance of prediction within this candidate set. However, during inference, the approach suffers from unseen slot values for slots with evolving candidates such as entity names and time- and location-related slots. + +# 4.3.1 FIXED-VOCABULARY + +GLAD (Zhong et al., 2018). GLAD uses multiple self-attentive RNNs to learn a global tracker for shared parameters among slots and a local tracker for individual slot. The model utilizes previous system actions as input. The output is used to compute semantic similarity with ontology terms. + +GCE (Nouri & Hosseini-Asl, 2018). GCE is a simplified and faster version of GLAD. The model removes slot-specific RNNs while maintaining competitive DST performance. + +MDBT (Ramadan et al., 2018). MDBT model includes separate encoding modules for system utterances, user utterances, and (slot, value) pairs. Similar to GLAD, The model is trained based on the semantic similarity between utterances and ontology terms. + +FJST and HJST (Eric et al., 2019). FJST refers to Flat Joint State Tracker, which consists of a dialog history encoder as a bidirectional LSTM network. The model also includes separate feedforward networks to encode hidden states of individual state slots. HJST follows a similar architecture but uses a hierarchical LSTM network (Serban et al., 2016) to encode the dialogue history. + +SUMBT (Lee et al., 2019). SUMBT refers to Slot-independent Belief Tracker, consisting of a multi-head attention layer with query vector as a representation of a (domain, slot) pair and key and value vector as BERT-encoded dialogue history. The model follows a non-parametric approach as it is trained to minimize a score such as Euclidean distance between predicted and target slots. Our approach is different from SUMBT as we include attention among (domain, slot) pairs to explicitly learn dependencies among the pairs. Our models also generate slot values rather than relying on a fixed candidate set. + +# 4.3.2 OPEN-VOCABULARY + +TSCP (Lei et al., 2018). TSCP is an end-to-end dialogue model consisting of an RNN encoder and two RNN decoder with a pointer network. We choose this as a baseline because TSCP decodes dialogue state as a single sequence and hence, factor in potential dependencies among slots like our work. We adapt TSCP into multi-domain dialogues and report the performance of only the DST component rather than the end-to-end model. We also reported the performance of TSCP for two cases when the maximum length of dialogue state sequence $L$ in the state decoder is set to 8 or 20 tokens. Different from TSCP, our models dynamically learn the length of each state sequence as the sum of predicted fertilities and hence, do not rely on a fixed value of $L$ . + +DST Reader (Gao et al., 2019). DST Reader reformulates the DST task as a reading comprehension task. The prediction of each slot is a span over tokens within the dialogue history. The model follows an attention-based neural network architecture and combines a slot carryover prediction module and slot type prediction module. + +HyST (Goel et al., 2019). HyST model combines both fixed-vocabulary and open-vocabulary approach by separately choosing which approach is more suitable for each slot. For the openvocabulary approach, the slot candidates are formed as sets of all word n-grams in the dialogue history. The model makes use of encoder modules to encode user utterances and dialogue acts to represent the dialogue context. + +TRADE (Wu et al., 2019). This is the current state-of-the-art model on the MultiWOZ2.0 and 2.1 datasets. TRADE is composed of a dialog history encoder, a slot gating module, and an RNN decoder with a pointer network for state generation. SpanPtr is a related baseline to TRADE as reported by Wu et al. (2019). The model makes use of a pointer network with index-based copying instead of a token-based copying mechanism. + +# 4.4 RESULTS + +We evaluate model performance by the joint goal accuracy as commonly used in DST (Henderson et al., 2014b). The metric compares the predicted dialogue states to the ground truth in each dialogue turn. A prediction is only correct if all the predicted values of all slots exactly match the corresponding ground truth labels. We ran our models for 5 times and reported the average results. For completion, we reported the results in both MultiWOZ 2.0 and 2.1. + +As can be seen in Table 2, although our models are designed for non-autoregressive decoding, they can outperform state-of-the-art DST approaches that utilize autoregressive decoding such as (Wu et al., 2019). Our performance gain can be attributed to the model capability of learning crossdomain and cross-slot signals, directly optimizing towards the evaluation metric of joint goal accuracy rather than just the accuracy of individual slots. Following prior DST work, we reported the model performance on the restaurant domain in MultiWOZ 2.0 in Table 4. In this dialogue domain, our model surpasses other DST models in both Joint Accuracy and Slot Accuracy. Refer to Appendix A.3 for our model performance in other domains in both MultiWOZ2.0 and MultiWOZ2.1. + +Latency Analysis. We reported the latency results in term of wall-clock time (in ms) per prediction state of our models and the two baselines TRADE (Wu et al., 2019) and TSCP (Lei et al., 2018) in Table 4. For TSCP, we reported the time cost only for the DST component instead of the end-toend models. We conducted experiments with 2 cases of TSCP when the maximum output length of dialogue state sequence in the state decoder is set as $L = 8$ and $L = 2 0$ . We varied our models for different values of $T = T _ { \mathrm { f e r t } } = T _ { \mathrm { s t a t e } } \in \{ 1 , 2 , 3 \}$ . All latency results are reported when running in a single identical GPU. As can be seen in Table 4, NADST obtains the best performance when $T = 3$ . The model outperforms the baselines while taking much less time during inference. Our approach is similar to TSCP which also decodes a complete dialogue state sequence rather than individual slots to factor in dependencies among slot values. However, as TSCP models involve sequential processing in both encoding and decoding, they require much higher latency. TRADE shortens the latency by separating the decoding process among (domain, slot) pairs. However, at the token level, TRADE models follow an auto-regressive process to decode individual slots and hence, result in higher average latency as compared to our approach. In NADST, the model latency is only affected by the number of attention layers in fertility decoder $T _ { \mathrm { f e r t } }$ and state decoder $T _ { \mathrm { s t a t e } }$ . For approaches with sequential encoding and/or decoding such as TSCP and TRADE, the latency is affected by the length of source sequences (dialog history) and target sequence (dialog state). Refer to Appendix A.3 for visualization of model latency in terms of dialogue history length. + +
ModelMultiWOZ2.1MultiWOZ2.0
MDBT (Ramadan et al., 2018) †15.57%
SpanPtr (Vinyals et al., 2015)30.28%
GLAD (Zhong et al., 2018) +35.57%
GCE (Nouri & Hosseini-Asl, 2018) +36.27%
HJST (Eric et al., 2019) *35.55%38.40%
DST Reader (single) (Gao et al., 2019) *36.40%39.41%
DST Reader (ensemble) (Gao et al.,2019)142.12%
TSCP (Lei et al., 2018)37.12%39.24%
FJST (Eric et al., 2019) *38.00%40.20%
HyST (ensemble) (Goel et al., 2019) *38.10%44.24%
SUMBT (Lee et al., 2019) +=46.65%
TRADE (Wu et al., 2019) *45.60%48.60%
Ours49.04%50.52%
+ +Table 2: DST Joint Accuracy metric on MultiWOZ 2.1 and 2.0. †: results reported on MultiWOZ2.0 leaderboard. ?: results reported by Eric et al. (2019). Best results are highlighted in bold. + +Table 3: DST joint accuracy and slot accuracy on MultiWOZ2.0 restaurant domain. Baseline results (except TSCP) were from $\mathrm { W u }$ et al. (2019). + +
ModelJoint AccSlot Acc
MDBT17.98%54.99%
SPanPtr49.12%87.89%
GLAD53.23%96.54%
GCE60.93%95.85%
TSCP62.01%97.32%
TRADE65.35%93.28%
Ours69.21%98.84%
+ +
ModelJoint Acc Latency Speed Up
TRADE 45.60%362.15×2.12
TSCP (L=8) 32.15%493.44×1.56
TSCP (L=20) 37.12%767.57×1.00
Ours (T=1) 42.98%15.18×50.56
Ours (T=2) 45.78%21.67×35.42
Ours (T=3) 49.04%27.31×28.11
+ +Table 4: Latency analysis on MultiWOZ2.1. Latency is reported in terms of wall-clock time in ms per prediction state. + +Ablation Analysis. We conduct an extensive ablation analysis with several variants of our models in Table 5. Besides the results of DST metrics, Joint Slot Accuracy and Slot Accuracy, we reported the performance of the fertility decoder in Joint Gate Accuracy and Joint Fertility Accuracy. These metrics are computed similarly as Joint Slot Accuracy in which the metrics are based on whether all predictions of gates or fertilities match the corresponding ground truth labels. We also reported the Oracle Joint Slot Accuracy and Slot Accuracy when the models are fed with ground truth $X _ { \mathrm { d s \times f e r t } }$ and $X _ { \mathrm { d e l } }$ labels instead of the model predictions. We noted that the model fails when positional encoding of $X _ { \mathrm { d s \times f e r t } }$ is removed before being passed to the state decoder. The performance drop can be explained because $P E$ is responsible for injecting sequential attributes to enable non-autoregressive decoding. Second, we also note a slight drop of performance when slot gating is removed as the models have to learn to predict a fertility of 1 for “none” and “dontcare” slots as well. Third, removing $X _ { \mathrm { d e l } }$ as an input reduces the model performance, mostly due to the sharp decrease in Joint Fertility Accuracy. Lastly, removing pointer generation and relying on only $P _ { \mathrm { v o c a b } } ^ { \mathrm { s t a t e } }$ affects the model performance as the models are not able to infer slot values unseen during training, especially for slots such as restaurant-name and train-arriveby. We conduct other ablation experiments and report additional results in Appendix A.3. + +
XdelSlot GatingPE(Xdsxfert)Pointer Gen.Joint Gate AccJoint Fert. AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
66.65%63.18%49.04%97.31%73.44%99.01%
59.23%57.83%19.56%94.36%72.12%98.96%
N/A64.23%48.74%96.62%73.01%98.97%
48.23%45.35%39.45%95.92%66.27%98.63%
√(no sys. act)52.45%56.81%44.87%96.95%70.83%98.74%
63.19%58.31%43.46%96.72%64.37%98.39%
44.22%42.01%34.48%95.89%61.32%98.24%
N/A41.35%33.52%95.42%60.99%98.19%
+ +Table 5: Ablation analysis on MultiWOZ 2.1 on 4 components: partially delexicalized dialogue history $X _ { d e l }$ , slot gating, positional encoding $P E ( X _ { d s \times f e r t } )$ , and pointer network. + +Auto-regressive DST. We conduct experiments that use an auto-regressive state decoder and keep other parts of the model the same. For the fertility decoder, we do not use Equation 14 and 16 as fertility becomes redundant in this case. We still use the output to predict slot gates. Similar to TRADE, we use the summation of embedding vectors of each domain and slot pair as input to the state decoder and generate slot value token by token. First, From Table 6, we note that the performance does not change significantly as compared to the non-autoregressive version. This reveals that our proposed NADST models can predict fertilities reasonably well and performance is comparable with the auto-regressive approach. Second, we observe that the auto-regressive models are less sensitive to the use of system action in dialogue history delexicalization. We expect this as predicting slot gates is easier than predicting fertilities. Finally, we note that our auto-regressive model variants still outperform the existing approaches. This could be due to the high-level dependencies among (domain, slot) pairs learned during the first part of the model to predict slot gates. + +
MultiWOZSys. ActJoint Gate AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
2.1165.89%49.76%97.40%71.39%98.92%
2.162.04%46.57%97.23%66.72%98.65%
2.068.81%50.08%97.44%79.04%99.22%
2.065.27%50.46%97.43%76.21%99.08%
+ +Table 6: Performance of auto-regressive model variants on MultiWOZ2.0 and 2.1. Fertility prediction is removed as fertility becomes redudant in auto-regressive models. + +Visualization and Qualitative Evaluation. In Figure 4, we include two examples of dialogue state prediction and the corresponding visualization of self-attention scores of $X _ { d s \times f e r t }$ in state decoder. In each heatmap, the highlighted boxes express attention scores among non-symmetrical domain-slot pairs. In the first row, 5 attention heads capture the dependencies of two pairs (trainleaveat, train-arriveby) and (train-departure, train-destination). The model prediction for these two slots matches the gold labels: (train-leaveat, 09:50), (train-arriveby, 11:30) and (train-departure, cambridge), (train-destination, ely) respectively. In the second row, besides slot-level dependency between domain-slot pairs (taxi-departure, taxi-destination), token-level dependency is exhibited through the attention between attraction-type and attraction-name. By attending on token representations of attraction-name with corresponding output “christ college”, the models can infer “attraction-type=college” correctly. In addition, our model also detects contextual dependency between train-departure and attraction-name to predict “train-departure $\underline { { \underline { { \mathbf { \Pi } } } } }$ christ college.” Refer to Appendix A.4 for the dialogue history with gold and prediction states of these two sample dialogues. + +# 5 CONCLUSION + +We proposed NADST, a novel Non-Autoregressive neural architecture for DST that allows the model to explicitly learn dependencies at both slot-level and token-level to improve the joint accuracy rather than just individual slot accuracy. 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URL https: //www.aclweb.org/anthology/P18-1135. + +# A APPENDIX + +# A.1 DATASET PRE-PROCESSING + +We follow similar data preprocessing procedures as Budzianowski et al. (2018) and Wu et al. (2019) on both MultiWOZ 2.0 and 2.1. The resulting corpus includes 8,438 multi-turn dialogues in training set with an average of 13.5 turns per dialogue. For the test and validation set, each includes 1,000 multi-turn dialogues with an average of 14.7 turns per dialogue. The average number of domains per dialogue is 1.8 for training, validation, and test sets. The MultiWOZ corpus includes much larger ontology than previous DST datasets such as WOZ (Wen et al., 2017) and DSTC2 (Henderson et al., 2014a). We identified a total of 35 (domain, slot) pairs across 7 domains. However, only 5 domains are included in the test data. Refer to Table 7 for the statistics of dialogues in these 5 domains. + +Table 7: Summary of MultiWOZ dataset 2.1 + +
DomainattractionhotelrestauranttaxitrainAll
Slotareanametypeareabookdaybookpeoplebookstayinternetnameparkingpricerangestarstypeareabookdaybookpeoplebooktimefoodnamepricerangearrivebydeparturedestinationleaveatarrivebybookpeopledaydeparturedestinationleaveat=
train3,3813,1032,7173,8131,6548,438
val4164844014382071,000
test3944943954371951,000
+ +# A.2 MODEL HYPER-PARAMETERS + +We employed dropout (Srivastava et al., 2014) of 0.2 at all network layers except the linear layers of generation network components and pointer attention components. We used a batch size of 32, embedding dimension $d = 2 5 6$ in all experiments. We also fixed the number of attention heads to 16 in all attention layers. We shared the embedding weights to embed domain and slot tokens as input to fertility decoder and state decoder. We also shared the embedding weights between dialogue history encoder and state generator. We varied our models for different values of $T = T _ { f e r t } = T _ { s t a t e } \in$ $\{ 1 , 2 , 3 \}$ . In all experiments, the warmup steps are fine-tuned from a range from 13K to 20K training steps. + +# A.3 ADDITIONAL RESULTS + +Domain-specific Results. We conduct experiments to evaluate our model performance in all 5 test domains in MultiWOZ2.0 and 2.1. From Table 8, our models perform better in restaurant and attraction domain in general. The performance in the taxi and hotel domain is significantly lower than other domains. This could be explained as the hotel domain has a complicated slot ontology with 10 different slots, larger than the other domains. For the taxi domain, we observed that dialogues with this domain are usually of multiple domains, including the taxi domain in combination with other domains. Hence, it is more challenging to track dialogue states in the taxi domain. + +Latency Results. We visualized the model latency against the length of dialogue history in Figure 2 and 3. In Figure 2, we only plot with dialogue history length up to 80 tokens as TSCP models do not use the full dialogue history as input. In Figure 3, for a fair comparison between TRADE and NADST, we plot the latency of the original TRADE which decodes dialogue state slot by slot and a new version of TRADE∗ model which decodes individual slots following a parallel decoding mechanism. Since TRADE independently generates dialogue state slot by slot, we enable parallel generation simply by feeding all slots into models at once (without impacts on performance). However, at the token level, TRADE∗ still follows an autoregressive decoding framework. Compared to TRADE∗ and TSCP, our model latency is only dependent on the model complexity i.e. the number of attention layers $T = T _ { f e r t } = T _ { s t a t e }$ . For TRADE∗ and TSCP, the model latency increases as dialogue extends over time while NADST latency is almost constant. The non-constant latency is mostly due to overhead processing such as delexicalizing dialogue history. Our approach is, hence, suitable especially for dialogues in multiple domains as they usually extend over more number of turns (e.g. 13 to 14 turns per dialogue in average in MultiWOZ corpus) In Figure 3, we noted that the latency of the original TRADE is almost unchanged as the dialogue history extends. This is most likely due to the model having to decode all possible (domain, slot) pairs rather than just relevant pairs as in NADST and TSCP. The TRADE∗ shows a clearer increasing trend of latency because the parallel process is independent of the number of (domain,slot) pairs considered. TRADE∗ still requires more time to decode than NADST as we also parallelize decoding at the token level. + +Table 8: Additional domain-specific results of our model in MultiWOZ2.0 and MultiWOZ2.1. The model performs best with the restaurant domain and worst with the taxi domain. + +
MultiWOZ2.1MultiWOZ2.0
DomainJoint AccSlotJoint AccSlot
Hotel48.76%97.70%53.86%97.75%
Train62.36%98.36%58.58%98.08%
Attraction66.83%98.89%74.21%99.19%
Restaurant65.37%98.78%69.21%98.84%
Taxi33.80%96.69%34.94%96.76%
+ +![](images/7d62c30615b53c3ffca6ed161c5e7b74a2c23e2990d169d20c0d2be0d5d381f8.jpg) +Figure 2: Comparison of model latency as wall-clock time (in ms) per prediction of complete dialogue state (not by individual slot). The latency is plotted against the length of the dialogue history. We compare our models with TSCP (Lei et al., 2018) with varied maximum output length of dialogue states $L = 8$ and $L = 2 0$ . We vary our models with different values of number of attention layers $T = T _ { f e r t } = T _ { s t a t e } = 1 , 2 , 3$ . Our models are more scalable as the latency does not change significantly when dialogue history extends over time. + +Ablation Results. We conduct additional ablation experiments by varying the proportion of prediction values vs. ground-truth values for $X _ { d e l }$ and $X _ { d s \times f e r t }$ as input to the models. As can be seen in Table 9, the model performance increases gradually as the proportion of prediction input $\%$ pred reduces from $100 \%$ (true prediction) to $0 \%$ (oracle prediction). In particular, we observe more significant changes in performance against changes of $\%$ pred of $X _ { d s \times f e r t }$ . The model performance can increase up to more than $67 \%$ joint accuracy when we have an oracle input of $X _ { d s \times f e r t }$ . However, we consider improving model performance by $X _ { d e l }$ more practically achievable. For example, we can make use of a more sophisticated mechanism to delexicalize dialog history rather than exact word matching as the current strategy. Another example is having better $X _ { d e l }$ through a pretrained NLU model. In the ideal case with access to ground-truth labels of both $X _ { d e l }$ and $X _ { d s \times f e r t }$ , the model can obtain a joint accuracy of $73 \%$ . + +![](images/2c08b7341d37aa5dfb78de8a26e65d9b6448146ad773f5949f036455895dd369.jpg) +Figure 3: Comparison of model latency as wall-clock time (in ms) per prediction of complete dialogue state. The latency is plotted against the length of the dialogue history. For a fair comparison, we compare our models with TRADE (Wu et al., 2019) in 2 cases: original TRADE which decodes dialogue state slot by slot and TRADE∗ which decodes dialogue state in parallel at slot-level. Here we plot the base-10 logarithm of latency to show the difference between the 2 cases of TRADE. We vary our models with different values of number of attention layers $T = T _ { f e r t } = T _ { s t a t e } = 1 , 2 , 3$ . Our models are more scalable as the latency does not change significantly when dialogue history extends over time. + +Table 9: Additional results of our model in MultiWOZ2.1 when we assume access to the groundtruth labels of $X _ { d e l }$ and $X _ { d s \times f e r t }$ (oracle prediction). We vary the the percentage of using the model prediction $\hat { X } _ { d e l }$ and $\hat { X } _ { d s \times f e r t }$ from $100 \%$ (true prediction) to $0 \%$ (oracle prediction). + +
%pred Xdel%pred XdsxfertJoint AccSlot Acc%pred Xdel%pred XdsxfertJoint AccSlot Acc
0%100%57.40%98.06%100%0%67.32%98.67%
20%100%56.50%97.98%100%20%64.09%98.47%
40%100%55.24%97.91%100%40%61.29%98.29%
60%100%53.58%97.79%100%60%57.02%98.00%
80%100%52.02%97.67%100%80%54.11%97.76%
100%100%49.04%97.31%100%100%49.04%97.31%
0%0%73.44%99.01%0%0%73.44%99.01%
+ +![](images/f24021160ad2cc8757b501d0e5677939806c5a126234b3aff52f64e8ac4dbdbc.jpg) +Figure 4: Heatmap visualization of self-attention scores of 5 heads between $\textstyle Z _ { d s \times f e r t }$ representations in the state decoder. The corresponding prediction output for each representation is presented on the right side. The examples are for the ${ \bf { \bar { 6 } } } ^ { t h }$ turn in dialogue ID MUL0536 (upper row) and PMUL3759 (lower row) in MultiWOZ2.1. + +# A.4 SAMPLE PREDICTION OUTPUT + +We extracted prediction output in all turns for 2 example dialogues: MUL0536 and PMUL3759. + +Table 10: Full set of predicted dialogue states for dialogue ID MUL0536 in MultiWOZ2.1. + +
Human:i am looking for abbey pool and astroturf pitch can you help me ?
Turn 1Gold Dialog State:(attraction-name,abbey pool and astroturf pitch)
Predicted Dialog State:(attraction-name,abbey pool and astroturf pitch)
yes,abbey pool and astroturf pitch is a swimmingpool east of town .their number is O1223902088,
System:and address is pool way,whitehill road,off newmarket road . postcode cb58nt .
Turn 2Human:thank you very much for the information .that is alli needed help with . have a nice day.
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool)
Predicted Dialog State:(attraction-area, east),(attraction-name,abbey pool and astroturf pitch)
System:you are welcome .let me know if i can do anything else for you .
Human:i actually do need to find a train going to ely.
Turn 3Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool),
(train-destination-ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-destination-ely)
System:is that leaving from cambridge ?and if so,what time would you like to arrive in ely ?
Turn 4Human:yes,i willbe leaving cambridge and going toely,i would like it toarrive by 11:30. (atraction-area,east),(attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
(train-departure,cambridge),(train-destination, ely) what day would yoube traveling ?there are 2,828 trains on that route.there isa train that departs friday at
Turn 5System:9:50 and will arrive in ely at 10:07 .
Human:Oops !i guess forgot to mention it s thursday that i need to travel .
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
System:(train-day, thursday),(train-departure,cambridge),(train-destination, ely) there are 3 trains that would fit,leaving at O5:50,O7:50,or 09:50.
Turn 6Human:can i get info for the O9:5O the price and the trains id please ?
(attraction-area,east),(attraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge), (train-destination, ely), (train-leaveat, 09:50)
(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat, 09:50)
System:certainly .the train s id is tr1923,and the price for a ticket is 4.40 pounds .
Turn 7Human:great,thank you ! that will be allineed for now.
Gold Dialog State:(atraction-area,east), (attraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50) (attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat,09:50)
System:are you certain you do not need further assistance ?
Turn 8Human:9:50 departure,4.40 pounds,trl923 .i got it,thank you ! (atraction-area,east), (attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O), (train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50)
Predicted Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
+ +![](images/1f28e20e859a4b30dd11d58f27bcd11faf036c53f9734e61292e6231b7416ec6.jpg) +Figure 5: Visualization of all attention heads in the last attention step $T _ { s t a t e }$ in the state decoder. The DST prediction is done for the $6 ^ { t h }$ turn in dialogue ID MUL0536 in MultiWOZ2.1. + +Table 11: Full set of predicted dialogue states for dialogue ID PMUL3759 in MultiWOZ2.1. + +
Human:what s your favorite college to visit in cambridge ?
Turn 1Gold Dialog State:(attraction-type,college)
Predicted Dialog State:(attraction-type,college)
ilike christ scollege in the center of town,but there are many others throughout the city.what part of
System:
the city did you want to visit ?
Turn 2 Human:i think i would like to visit that location,it seems nice .could i get the phone number and the area ?
Gold Dialog State:(attraction-name,christ college),(attraction-type,college)
Predicted Dialog State:(attraction-area,centre),(attraction-name,christ college),(attraction-type,college)
System:the area is centre and the phone number is O122333490o.is there anything else ican help you with ? actually,iam hungry .can you find me arestaurant that serves north american food ? something not
Turn 3Human:super expensive,maybe in a moderate price range ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-food,modern american), (restaurant-pricerange, moderate)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college),(restaurant-food, north american),
System:(restaurant-pricerange,moderate) iam sorry,there s no restaurant serving specifically north american or american food in my database,
Turn 4Human:is there another type of food you would consider ? how about modern european food ?
(attraction-name,christ college),(atraction-type,collge),(restaurant-food,modern european),
Gold Dialog State:(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-food, modern european), (restaurant-pricerange, moderate)
System:there are 3 modern european restaurant -s 2 in the center and1 in the south .do you have a preference ?
Turn 5Human:i would prefer the 1 on the centre,could i have the phone number and postcode please ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
(restaurant-food, modern european),(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-area,centre), (restaurant-food, modern european),(restaurant-pricerange, moderate)
System:de luca cucina and bar s phone number is O1223356666. postcode is cb2law.
Turn 6Human:could you help me get a taxi to get from the college to the restaurant ?
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate),(taxi-departure,christcolge), (taxi-destination,de luca cucina and bar)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ colge), (taxi-destination,de luca cucina and bar)
System:what time would you like to leave thecollege?icanbook youataxi to take you to the restaurant if you
Turn 7would like.
Human:i would like to leave by 13:00. (attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre), (restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christcolge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,13:00)
System:ihave booked youataxi leaving at12:45.the car will beared toyotaand contact number is O7350032543 .anything else today ?
Turn 8Human:that s it .thank you very much .
(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
System:will you need anymore information concerning your stay ?
that is all,thanks for the help.
Turn 9Human:
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate), (taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:
+ +![](images/29914032d00143a3858063c0b2f13de6be6b0c3775ddb131d4be80f9e43999f2.jpg) +Figure 6: Visualization of all attention heads in the last attention step $T _ { s } t a t e$ in the state decoder. The DST prediction is done for the $6 ^ { t h }$ turn in dialogue ID PMUL3759 in MultiWOZ2.1. \ No newline at end of file diff --git a/parse/train/H1e_cC4twS/H1e_cC4twS_content_list.json b/parse/train/H1e_cC4twS/H1e_cC4twS_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..2adf1d54456598abe8f03cb657531dc125573259 --- /dev/null +++ b/parse/train/H1e_cC4twS/H1e_cC4twS_content_list.json @@ -0,0 +1,1890 @@ +[ + { + "type": "text", + "text": "NON-AUTOREGRESSIVE DIALOG STATE TRACKING ", + "text_level": 1, + "bbox": [ + 176, + 98, + 789, + 121 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Hung Le‡∗, Richard Socher†, Steven C.H. Hoi† † Salesforce Research {rsocher,shoi}@salesforce.com $\\ddagger$ Singapore Management University hungle.2018@phdcs.smu.edu.sg ", + "bbox": [ + 184, + 143, + 503, + 160 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 184, + 161, + 465, + 214 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 252, + 544, + 267 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recent efforts in Dialogue State Tracking (DST) for task-oriented dialogues have progressed toward open-vocabulary or generation-based approaches where the models can generate slot value candidates from the dialogue history itself. These approaches have shown good performance gain, especially in complicated dialogue domains with dynamic slot values. However, they fall short in two aspects: (1) they do not allow models to explicitly learn signals across domains and slots to detect potential dependencies among (domain, slot) pairs; and (2) existing models follow auto-regressive approaches which incur high time cost when the dialogue evolves over multiple domains and multiple turns. In this paper, we propose a novel framework of Non-Autoregressive Dialog State Tracking (NADST) which can factor in potential dependencies among domains and slots to optimize the models towards better prediction of dialogue states as a complete set rather than separate slots. In particular, the non-autoregressive nature of our method not only enables decoding in parallel to significantly reduce the latency of DST for realtime dialogue response generation, but also detect dependencies among slots at token level in addition to slot and domain level. Our empirical results show that our model achieves the state-of-the-art joint accuracy across all domains on the MultiWOZ 2.1 corpus, and the latency of our model is an order of magnitude lower than the previous state of the art as the dialogue history extends over time. ", + "bbox": [ + 233, + 280, + 764, + 542 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 566, + 336, + 582 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In task-oriented dialogues, a dialogue agent is required to assist humans for one or many tasks such as finding a restaurant and booking a hotel. As a sample dialogue shown in Table 1, each user utterance typically contains important information identified as slots related to a dialogue domain such as attraction-area and train-day. A crucial part of a task-oriented dialogue system is Dialogue State Tracking (DST), which aims to identify user goals expressed during a conversation in the form of dialogue states. A dialogue state consists of a set of (slot, value) pairs e.g. (attraction-area, centre) and (train-day, tuesday). Existing DST models can be categorized into two types: fixed- and open-vocabulary. Fixed vocabulary models assume known slot ontology and generate a score for each candidate of (slot,value) (Ramadan et al., 2018; Lee et al., 2019). Recent approaches propose open-vocabulary models that can generate the candidates, especially for slots such as entity names and time, from the dialogue history (Lei et al., 2018; Wu et al., 2019). ", + "bbox": [ + 174, + 597, + 825, + 750 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Most open-vocabulary DST models rely on autoregressive encoders and decoders, which encode dialogue history sequentially and generate token $t _ { i }$ of individual slot value one by one conditioned on all previously generated tokens $t _ { [ 1 : i - 1 ] }$ . For downstream tasks of DST that emphasize on low latency (e.g. generating real-time dialogue responses), auto-regressive approaches incur expensive time cost as the ongoing dialogues become more complex. The time cost is caused by two major components: length of dialogue history i.e. number of turns, and length of slot values. For complex dialogues extended over many turns and multiple domains, the time cost will increase significantly in both encoding and decoding phases. ", + "bbox": [ + 174, + 757, + 825, + 868 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Similar problems can be seen in the field of Neural Machine Translation (NMT) research where a long piece of text is translated from one language to another. Recent work has tried to improve the latency in NMT by using neural network architectures such as convolution (Krizhevsky et al., 2012) and attention (Luong et al., 2015). Several non- and semi-autoregressive approaches aim to generate tokens of the target language independently (Gu et al., 2018; Lee et al., 2018; Kaiser et al., 2018). Motivated by this line of research, we thus propose a non-autoregressive approach to minimize the time cost of DST models without a negative impact on the model performance. ", + "bbox": [ + 178, + 876, + 821, + 904 + ], + "page_idx": 0 + }, + { + "type": "table", + "img_path": "images/f9dd915fe95aef8e42354382ae062260c57489b113f4d5376d274712cc98775e.jpg", + "table_caption": [ + "Table 1: A sample task-oriented dialogue with annotated dialogue states after each user turn. The dialogue states in red and blue denote slots from the attraction domain and train domain respectively. Slot values are expressed in user and system utterances (highlighted by underlined text). " + ], + "table_footnote": [], + "table_body": "
Human: Dialog State:i want to visit a theater in the center of town (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:there are 4 matches.ido not have any info on the fees.do you have any other preferences ? no other preferences,i just want to be sure to get the phone number of whichever theatre we pick . (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:irecommendthecambridgecorn exchangethere phone numberis O1223357851.isthere anything elseican helpyou with? yes,i am looking for a tuesday train. (attraction-area,centre),(atraction-name,thecambridgecor exchange),(attraction-type,theatre),(train-day,tuesday)
System: Human:where will you be departing fromand what s your destination ? from cambridge to london liverpool street
Dialog State:(atraction-area,centre),(atraction-name,thecambridgecon exchange),(attraction-type,theatre),(train-day,tuesday), (train-departure, cambridge), (train-destination, london liverpool street)
", + "bbox": [ + 174, + 82, + 821, + 202 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 275, + 825, + 344 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We adopt the concept of fertility proposed by Gu et al. (2018). Fertility denotes the number of times each input token is copied to form a sequence as the input to the decoder for non-autoregressive decoding. We first reconstruct dialogue state as a sequence of concatenated slot values. The result sequence contains the inherent structured representation in which we can apply the fertility concept. The structure is defined by the boundaries of individual slot values. These boundaries can be easily obtained from dialogue state itself by simply measuring number of the tokens of individual slots. Our model includes a two-stage decoding process: (1) the first decoder learns relevant signals from the input dialogue history and generates a fertility for each input slot representation; and (2) the predicted fertility is used to form a structured sequence which consists of multiple sub-sequences, each represented as (slot token $\\times$ slot fertility). The result sequence is used as input to the second decoder to generate all the tokens of the target dialogue state at once. ", + "bbox": [ + 174, + 351, + 825, + 505 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In addition to being non-autoregressive, our models explicitly consider dependencies at both slot level and token level. Most of existing DST models assume independence among slots in dialogue states without explicitly considering potential signals across the slots (Wu et al., 2019; Lee et al., 2019; Goel et al., 2019; Gao et al., 2019). However, we hypothesize that it is not true in many cases. For example, a good DST model should detect the relation that train departure should not have the same value as train destination (example in Table 1). Other cases include time-related pairs such as (taxi arriveBy, taxi leaveAt) and cross-domain pairs such as (hotel area, attraction area). Our proposed approach considers all possible signals across all domains and slots to generate a dialogue state as a set. Our approach directly optimizes towards the DST evaluation metric Joint Accuracy (Henderson et al., 2014b), which measures accuracy at state (set of slots) level rather than slot level. ", + "bbox": [ + 174, + 511, + 825, + 650 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our contributions in this work include: (1) we propose a novel framework of Non-Autoregressive Dialog State Tracking (NADST), which explicitly learns inter-dependencies across slots for decoding dialogue states as a complete set rather than individual slots; (2) we propose a non-autoregressive decoding scheme, which not only enjoys low latency for real-time dialogues, but also allows to capture dependencies at token level in addition to slot level; (3) we achieve the state-of-the-art performance on the multi-domain task-oriented dialogue dataset “MultiWOZ 2.1” (Budzianowski et al., 2018; Eric et al., 2019) while significantly reducing the inference latency by an order of magnitude; (4) we conduct extensive ablation studies in which our analysis reveals that our models can detect potential signals across slots and dialogue domains to generate more correct “sets” of slots for DST. ", + "bbox": [ + 174, + 657, + 825, + 782 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 804, + 344, + 820 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our work is related to two research areas: dialogue state tracking and non-autoregressive decoding. ", + "bbox": [ + 174, + 837, + 820, + 851 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 DIALOGUE STATE TRACKING ", + "text_level": 1, + "bbox": [ + 176, + 868, + 418, + 883 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Dialogue State Tracking (DST) is an important component in task-oriented dialogues, especially for dialogues with complex domains that require fine-grained tracking of relevant slots. Traditionally, ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "DST is coupled with Natural Language Understanding (NLU). NLU output as tagged user utterances is input to DST models to update the dialogue states turn by turn (Kurata et al., 2016; Shi et al., 2016; Rastogi et al., 2017). Recent approaches combine NLU and DST to reduce the credit assignment problem and remove the need for NLU (Mrksiˇ c et al., 2017; Xu & Hu, 2018; Zhong et al., 2018). ´ Within this body of research, Goel et al. (2019) differentiates two DST approaches: fixed- and openvocabulary. Fixed-vocabulary approaches are usually retrieval-based methods in which all candidate pairs of (slot, value) from a given slot ontology are considered and the models predict a probability score for each pair (Henderson et al., 2014c; Ramadan et al., 2018; Lee et al., 2019). Recent work has moved towards open-vocabulary approaches that can generate the candidates based on input text i.e. dialogue history (Lei et al., 2018; Gao et al., 2019; Wu et al., 2019). Our work is more related to these models, but different from most of the current work, we explicitly consider dependencies among slots and domains to decode dialogue state as a complete set. ", + "bbox": [ + 174, + 103, + 825, + 270 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 NON-AUTOREGRESSIVE DECODING ", + "text_level": 1, + "bbox": [ + 176, + 287, + 460, + 301 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Most of prior work in non- or semi-autoregressive decoding methods are used for NMT to address the need for fast translation. Schwenk (2012) proposes to estimate the translation model probabilities of a phase-based NMT system. Libovicky & Helcl (2018) formulates the decoding process as \\` a sequence labeling task by projecting source sequence into a longer sequence and applying CTC loss (Graves et al., 2006) to decode the target sequence. Wang et al. (2019) adds regularization terms to NAT models (Gu et al., 2018) to reduce translation errors such as repeated tokens and incomplete sentences. Ghazvininejad et al. (2019) uses a non-autoregressive decoder with masked attention to decode target sequences over multiple generation rounds. A common challenge in nonautoregressive NMT is the large number of sequential latent variables, e.g., fertility sequences (Gu et al., 2018) and projected target sequences (Libovicky & Helcl, 2018). These latent variables are \\` used as supporting signals for non- or semi-autoregressive decoding. We reformulate dialogue state as a structured sequence with sub-sequences defined as a concatenation of slot values. This form of dialogue state can be inferred easily from the dialogue state annotation itself whereas such supervision information is not directly available in NMT. The lower semantic complexity of slot values as compared to long sentences in NMT makes it easier to adopt non-autoregressive approaches into DST. According to our review, we are the first to apply a non-autoregressive framework for generation-based DST. Our approach allows joint state tracking across slots, which results in better performance and an order of magnitude lower latency during inference. ", + "bbox": [ + 174, + 313, + 825, + 563 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 APPROACH", + "text_level": 1, + "bbox": [ + 176, + 583, + 297, + 599 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our NADST model is composed of three parts: encoders, fertility decoder, and state decoder, as shown in Figure 1. The input includes the dialogue history $\\boldsymbol { X } = ( x _ { 1 } , . . . , x _ { N } )$ and a sequence of applicable (domain, slot) pairs $X _ { \\mathrm { d s } } = ( ( d _ { 1 } , s _ { 1 } ) , . . . , ( d _ { G } , s _ { H } ) )$ , where $G$ and $H$ are the total numbers of domains and slots, respectively. The output is the corresponding dialogue states up to the current dialogue history. Conventionally, the output of dialogue state is denoted as tuple (slot, value) (or (domain-slot, value) for multi-domain dialogues). We reformulate the output as a concatenation of slot values $Y ^ { d _ { i } , s _ { j } } \\colon Y = ( Y ^ { d _ { 1 } , s _ { 1 } } , . . . , Y ^ { d _ { I } , s _ { J } } ) = ( y _ { 1 } ^ { d _ { 1 } , s _ { 1 } } , y _ { 2 } ^ { d _ { 1 } , s _ { 1 } } , . . . , y _ { 1 } ^ { d _ { I } , s _ { J } } , y _ { 2 } ^ { d _ { I } , s _ { J } } , . . . )$ where $I$ and $J$ are the numbers of domains and slots in the output dialogue state, respectively. ", + "bbox": [ + 174, + 614, + 825, + 728 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "First, the encoders use token-level embedding and positional encoding to encode the input dialogue history and (domain, slot) pairs into continuous representations. The encoded domains and slots are then input to stacked self-attention and feed-forward network to obtain relevant signals across dialogue history and generate a fertility $Y _ { f } ^ { d _ { g } , s _ { h } }$ for each (domain, slot) pair $\\left( d _ { g } , s _ { h } \\right)$ . The output of fertility decoder is defined as a sequence: Yfert = Y d1,s1f , $Y _ { \\mathrm { f e r t } } = Y _ { f } ^ { d _ { 1 } , s _ { 1 } } , . . . , Y _ { f } ^ { d _ { G } , s _ { H } }$ where $Y _ { f } ^ { d _ { g } , d _ { h } } \\in$ $\\{ 0 , \\mathrm { { m a x } ( \\mathrm { { S l o t L e n g t h } ) } } \\}$ . For example, for the MultiWOZ dataset in our experiments, we have $\\mathrm { { m a x } ( S l o t L e n g t h ) = 9 }$ according to the training data. We follow (Wu et al., 2019; Gao et al., 2019) to add a slot gating mechanism as an auxiliary prediction. Each gate $g$ is restricted to 3 possible values: “none”, “dontcare” and “generate”. They are used to form higher-level classification signals to support fertility decoding process. The gate output is defined as a sequence: $Y _ { \\mathrm { g a t e } } = Y _ { g } ^ { d _ { 1 } , s _ { 1 } } , . . . , Y _ { g } ^ { d _ { G } , s _ { H } }$ . ", + "bbox": [ + 174, + 734, + 825, + 886 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The predicted fertilities are used to form an input sequence to the state decoder for nonautoregressive decoding. The sequence includes sub-sequences of $( d _ { g } , s _ { h } )$ repeated by $Y _ { f } ^ { d _ { g } , s _ { h } }$ times and concatenated sequentially: Xds×fert = ((d1, s1)Y d1,s1f , $X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } = ( ( d _ { 1 } , s _ { 1 } ) ^ { Y _ { f } ^ { d _ { 1 } , s _ { 1 } } } , . . . , ( d _ { G } , s _ { H } ) ^ { Y _ { f } ^ { d _ { G } , s _ { H } } } )$ and $\\| X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } \\| =$ $\\| Y \\|$ . The decoder projects this sequence through attention layers with dialogue history. During this decoding process, we maintain a memory of hidden states of dialogue history. The output from the state decoder is used as a query to attend on this memory and copy tokens from the dialogue history to generate a dialogue state. ", + "bbox": [ + 176, + 892, + 820, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 101, + 825, + 176 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Following Lei et al. (2018), we incorporate information from previous dialogue turns to predict current turn state by using a partially delexicalized dialogue history $X _ { \\mathrm { d e l } } = ( x _ { 1 , \\mathrm { d e l } } , . . . , x _ { N , \\mathrm { d e l } } )$ as an input of the model. The dialogue history is delexicalized till the last system utterance by removing real-value tokens that match the previously decoded slot values to tokens expressed as domain-slot. Given a token $x _ { n }$ and the current dialogue turn $t$ , the token is delexicalized as follows: ", + "bbox": [ + 173, + 183, + 825, + 253 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/f4c0e761ca1a29e869311e93c80b40a5933784b13757ef4b81bf7ae2a23a816a.jpg", + "text": "$$\n\\begin{array} { r l } & { x _ { n , \\mathrm { d e l } } = \\mathrm { d e l e x } ( x _ { n } ) = \\left\\{ \\begin{array} { l l } { \\mathrm { d o m a i n } _ { \\mathrm { i d x } } \\mathrm { - s l o t } _ { \\mathrm { i d x } } , } & { \\mathrm { i f ~ } x _ { n } \\subset \\hat { Y } _ { t - 1 } . } \\\\ { x _ { n } , } & { \\mathrm { o t h e r w i s e } . } \\end{array} \\right. } \\\\ & { \\mathrm { l o m a i n } _ { \\mathrm { i d x } } = X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } [ \\mathrm { i d x } ] [ 0 ] , \\quad \\mathrm { s l o t } _ { \\mathrm { i d x } } = X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } [ \\mathrm { i d x } ] [ 1 ] , \\quad \\mathrm { i d x } = \\mathrm { I n d e x } ( x _ { n } , \\hat { Y } _ { t - 1 } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 210, + 266, + 785, + 327 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "For example, the user utterance “I look for a cheap hotel” is delexicalized to $^ { 6 6 } \\mathrm { I }$ look for a hotel pricerange hotel.” if the slot hotel pricerange is predicted as “cheap” in the previous turn. This approach makes use of the delexicalized form of dialogue history while not relying on an NLU module as we utilize the predicted state from DST model itself. In addition to the belief state, we also use the system action in the previous turn to delexicalize the dialog history in a similar manner, following prior work (Rastogi et al., 2017; Zhong et al., 2018; Goel et al., 2019). ", + "bbox": [ + 173, + 338, + 825, + 422 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/f5241c351fcdba9b369b18e79d320b182929c54b686f729cc5306d5379ffd500.jpg", + "image_caption": [ + "Figure 1: Our NADST has 3 key components: encoders (“red”), fertility decoder (“blue”), and state decoder (“green”). (i) Encoders encode sequences of dialogue history, delexicalized dialogue history, and domain and slot tokens into continuous representations; (ii) Fertility Decoder has 3 attention mechanisms to learn potential dependencies across (domain, slot) pairs in combination with dialogue history. The output is used to generate fertilities and slot gates; and (iii) State Decoder receives the input sequence including sub-sequences of (domain, slot) $^ { 1 \\times }$ fertility to decode a complete dialogue state sequence as concatenation of component slot values. For simplicity, we do not show feedforward, residual connection, and layer-normalization layers in the figure. Best viewed in color. " + ], + "image_footnote": [], + "bbox": [ + 174, + 444, + 816, + 780 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 ENCODERS ", + "text_level": 1, + "bbox": [ + 174, + 103, + 292, + 117 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "An encoder is used to embed dialogue history $X$ into a sequence of continuous representations $Z = ( z _ { 1 } , . . . , z _ { N } ) \\in \\mathbb { R } ^ { N \\times d }$ . Similarly, partially delexicalized dialogue history $X _ { d e l }$ is encoded to continuous representations $Z _ { \\mathrm { d e l } } \\in \\dot { \\mathbb { R } } ^ { N \\times d }$ . We store the encoded dialogue history $Z$ in memory which will be passed to a pointer network to copy words for dialogue state generation. This helps to address the OOV challenge as shown in (See et al., 2017; Wu et al., 2019). We also encode each (domain, slot) pair into continuous representation $z _ { \\mathrm { d s } } \\in \\mathbb { R } ^ { d }$ as input to the decoders. Each vector $z _ { \\mathrm { d s } }$ is used to store contextual signals for slot and fertility prediction during the decoding process. ", + "bbox": [ + 173, + 128, + 825, + 228 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Context Encoder. Context encoder includes a token-level trainable embedding layer and layer normalization (Ba et al., 2016). The encoder also includes a positional encoding layer which follows sine and cosine functions (Vaswani et al., 2017). An element-wise summation is used to combine the token-level vectors with positional encoded vectors. We share the embedding weights to embed the raw and delexicalized dialogue history. The embedding weights are also shared to encode input to both fertility decoder and state decoder. The final embedding of $X$ and $X _ { d e l }$ is defined as: ", + "bbox": [ + 174, + 233, + 825, + 318 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/910f155151cde33ef82aff30372cfd3cb9bfa34f662e65f85530a994cdc6755d.jpg", + "text": "$$\n\\begin{array} { c } { Z = Z _ { \\mathrm { e m b } } + \\mathrm { P E } ( X ) \\in \\mathbb { R } ^ { N \\times d } } \\\\ { Z _ { \\mathrm { d e l } } = Z _ { \\mathrm { e m b , d e l } } + \\mathrm { P E } ( X _ { \\mathrm { d e l } } ) \\in \\mathbb { R } ^ { N \\times d } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 369, + 321, + 630, + 364 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Domain and Slot Encoder. Each (domain, slot) pair is encoded by using two separate embedding vectors of the corresponding domain and slot. Each domain $g$ and slot $h$ is embedded into a continuous representation $z _ { d _ { g } }$ and $\\boldsymbol { z } _ { s _ { h } } \\in \\mathbb { R } ^ { d }$ . The final vector is combined by element-wise summation: ", + "bbox": [ + 174, + 368, + 825, + 411 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/f0221238f58e2da847747e20d450c6963cadd99efadfd488ff5a9c54b9017449.jpg", + "text": "$$\nz _ { d _ { g } , s _ { h } } = z _ { d _ { g } } + z _ { s _ { h } } \\in \\mathbb { R } ^ { d }\n$$", + "text_format": "latex", + "bbox": [ + 415, + 417, + 583, + 439 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We share the embedding weights to embed domain and slot tokens in both fertility decoder and state decoder. However, for input to state decoder, we inject sequential information into the input $X _ { \\mathrm { d s \\times f e r t } }$ to factor in position-wise information to decode target state sequence. In summary, $X _ { \\mathrm { d s } }$ and $X _ { \\mathrm { d s \\times f e r t } }$ is encoded as following: ", + "bbox": [ + 176, + 443, + 823, + 500 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/26e70ab5150a6361854c0093158b8bf92695bf7a85fea813a42fc9e9d96ac588.jpg", + "text": "$$\n\\begin{array} { c } { { Z _ { \\mathrm { d s } } = Z _ { \\mathrm { e m b , d s } } = z _ { d _ { 1 } , s _ { 1 } } \\oplus . . . \\oplus z _ { d _ { G } , s _ { H } } } } \\\\ { { Z _ { \\mathrm { d s } \\times \\mathrm { f e r t } } = Z _ { \\mathrm { e m b , d s } \\times \\mathrm { f e r t } } + \\mathrm { P E } ( X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } ) } } \\\\ { { Z _ { \\mathrm { e m b , d s } \\times \\mathrm { f e r t } } = ( z _ { d _ { 1 } , s _ { 1 } } ) ^ { Y _ { f } ^ { d _ { 1 } , s _ { 1 } } } \\oplus . . . \\oplus ( z _ { d _ { G } , s _ { H } } ) ^ { Y _ { f } ^ { d _ { G } , s _ { H } } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 320, + 505, + 676, + 568 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\oplus$ denotes concatenation operation. Note that different from a typical decoder input in Transformer, we do not shift the input sequences to both fertility decoder and state decoder by one position as we consider non-autoregressive decoding process in both modules. Therefore, all output tokens are generated in position $i$ based on all remaining positions of the sequence i.e. $1 , . . . , i - 1 , i + 1 , . . . \\| \\bar { X } _ { \\mathrm { d s } } \\|$ in fertility decoder and $1 , . . . , i - 1 , i + 1 , . . . \\| X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } \\|$ in state decoder. ", + "bbox": [ + 174, + 570, + 825, + 642 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 FERTILITY DECODER ", + "text_level": 1, + "bbox": [ + 174, + 656, + 362, + 671 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Given the encoded dialogue history $Z$ , delexicalized dialogue history $Z _ { \\mathrm { d e l } }$ , and (domain,slot) pairs $Z _ { \\mathrm { d s } }$ , the contextual signals are learned and passed into each $z _ { \\mathrm { d s } }$ vector through a sequence of attention layers. We adopt the multi-head attention mechanism (Vaswani et al., 2017) to project the representations into multiple sub-spaces. The attention mechanism is defined as scaled dot-product attention between query $Q$ , key $K$ , and value $V$ : ", + "bbox": [ + 173, + 683, + 825, + 753 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/bb0c7604a393b94eaeef7f641e309a6e73564f79289703ea902728d96c9fb0e7.jpg", + "text": "$$\n\\mathrm { A t t e n t i o n } ( Q , K , V ) = \\mathrm { s o f t m a x } ( \\frac { Q K ^ { T } } { \\sqrt { d _ { k } } } V )\n$$", + "text_format": "latex", + "bbox": [ + 356, + 758, + 642, + 795 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Each multi-head attention is followed by a position-wise feed-forward network. The feed-forward is applied to each position separately and identically. We use two linear layers with a ReLU activation in between. The fertility decoder consists of 3 attention layers, each of which learns relevant contextual signals and incorporates them into $z _ { d s }$ vectors as input to the next attention layer: ", + "bbox": [ + 174, + 799, + 823, + 856 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/7f50bb70a137930009235e863aea377ee0496816a1805489234d02d166ca1943.jpg", + "text": "$$\n\\begin{array} { r l } & { Z _ { \\mathrm { d s } } ^ { \\mathrm { o u t } } = \\mathrm { A t t e n t i o n } ( Z _ { \\mathrm { d s } } , Z _ { \\mathrm { d s } } , Z _ { \\mathrm { d s } } ) \\in \\mathbb { R } ^ { N \\times d } } \\\\ & { Z _ { \\mathrm { d s } } ^ { \\mathrm { o u t } } = \\mathrm { A t t e n t i o n } ( Z _ { \\mathrm { d s } } ^ { \\mathrm { o u t } } , Z _ { \\mathrm { d e l } } , Z _ { \\mathrm { d e l } } ) \\in \\mathbb { R } ^ { N \\times d } } \\\\ & { Z _ { \\mathrm { d s } } ^ { \\mathrm { o u t } } = \\mathrm { A t t e n t i o n } ( Z _ { \\mathrm { d s } } ^ { \\mathrm { o u t } } , Z , Z ) \\in \\mathbb { R } ^ { N \\times d } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 346, + 861, + 650, + 922 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For simplicity, we do not express the multi-head and feed-forward equations. We advise the reader to review Transformer network (Vaswani et al., 2017) for more detailed description. The multi-head structure has shown to obtain good performance in many NLP tasks such as NMT (Vaswani et al., 2017) and QA (Dehghani et al., 2019). By adopting this attention mechanism, we allow the models to explicitly obtain signals of potential dependencies across (domain, slot) pairs in the first attention layer, and contextual dependencies in the subsequent attention layers. Adding the delexicalized dialogue history as input can provide important contextual signals as the models can learn the mapping between real-value tokens and generalized domain-slot tokens. To further improve the model capability to capture these dependencies, we repeat the attention sequence for $T _ { \\mathrm { f e r t } }$ times with $Z _ { \\mathrm { d s } }$ . In an attentionto compute . $t$ , the output from the previous attentio The output in the last attention layer $t - 1$ is used as input to current layerssed to two independent linear $Z _ { \\mathrm { d s } } ^ { t }$ $Z _ { \\mathrm { d s } } ^ { \\mathrm { T _ { f e r t } } }$ \ntransformations to predict fertilities and gates: ", + "bbox": [ + 173, + 103, + 825, + 272 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/3979f89adfe39aafb7c14f2eebf4b5d297241699e9ec02056ea46bb8aadffa97.jpg", + "text": "$$\n\\begin{array} { r } { P ^ { \\mathrm { g a t e } } = \\mathrm { s o f t m a x } ( W _ { \\mathrm { g a t e } } Z _ { \\mathrm { d s } } ^ { T _ { \\mathrm { f e r t } } } ) } \\\\ { P ^ { \\mathrm { f e r t } } = \\mathrm { s o f t m a x } ( W _ { \\mathrm { f e r t } } Z _ { \\mathrm { d s } } ^ { T _ { \\mathrm { f e r t } } } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 393, + 273, + 604, + 315 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $W _ { \\mathrm { g a t e } } ~ \\in ~ \\mathbb { R } ^ { d \\times 3 }$ and $W _ { \\mathrm { f e r t } } ~ \\in ~ \\mathbb { R } ^ { d \\times 1 0 }$ . We use the standard cross-entropy loss to train the prediction of gates and fertilities: ", + "bbox": [ + 178, + 318, + 823, + 347 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/27cad4d3f4d6921271c3570e97a21dedaa46418514cbae39507f9d90c6009f2d.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathcal { L } _ { \\mathrm { g a t e } } = \\displaystyle \\sum _ { d _ { g } , s _ { h } } - \\log ( P ^ { \\mathrm { g a t e } } ( Y _ { g } ^ { d _ { g } , s _ { h } } ) ) } \\\\ & { \\mathcal { L } _ { \\mathrm { f e r t } } = \\displaystyle \\sum _ { d _ { g } , s _ { h } } - \\log ( P ^ { \\mathrm { f e r t } } ( Y _ { f } ^ { d _ { g } , s _ { h } } ) ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 379, + 348, + 617, + 422 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.3 STATE DECODER ", + "text_level": 1, + "bbox": [ + 174, + 435, + 333, + 450 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Given the generated gates and fertilities, we form the input sequence $X _ { \\mathrm { d s \\times f e r t } }$ . We filter out any (domain, slot) pairs that have gate either as “none” or “dontcare”. Given the encoded input $Z _ { \\mathrm { d s \\times f e r t } }$ , we apply a similar attention sequence as used in the fertility decoder to incorporate contextual signals into each ${ \\mathcal { Z } } _ { \\mathrm { d s } \\times \\mathrm { f e r t } }$ vector. The dependencies are captured at the token level in this decoding stage rather than at domain/slot higher level as in the fertility decoder. After repeating the attention sequence for $T _ { \\mathrm { s t a t e } }$ times, the final output $Z _ { \\mathrm { d s } \\times \\mathrm { f e r t } } ^ { T _ { \\mathrm { s t a t e } } }$ is used to predict the state in the following: ", + "bbox": [ + 173, + 462, + 825, + 549 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/6541f8bf2b97fcbe00bd65f9549ce0c0d36de54dcb54fe9618c859083601ddcd.jpg", + "text": "$$\nP _ { \\mathrm { v o c a b } } ^ { \\mathrm { s t a t e } } = \\mathrm { s o f t m a x } ( W _ { \\mathrm { s t a t e } } Z _ { \\mathrm { d s } \\times \\mathrm { f e r t } } ^ { T _ { \\mathrm { s t a t e } } } )\n$$", + "text_format": "latex", + "bbox": [ + 380, + 553, + 617, + 571 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $W _ { s t a t e } \\in \\mathbb { R } ^ { d \\times \\lVert V \\rVert }$ with $V$ as the set of output vocabulary. As open-vocabulary DST models do not assume a known slot ontology, our models can generate the candidates from the dialogue history itself. To address OOV problem during inference, we incorporate a pointer network (Vinyals et al., 2015) into the Transformer decoder. We apply dot-product attention between the state decoder output and the stored memory of encoded dialogue history $Z$ : ", + "bbox": [ + 173, + 575, + 825, + 646 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/dc152178d1ae5f119898676b28bc9f3f2c9a03860f6032de5fa429ba8841e715.jpg", + "text": "$$\nP _ { \\mathrm { p t r } } ^ { \\mathrm { s t a t e } } = \\mathrm { s o f t m a x } ( Z _ { \\mathrm { d s } \\times \\mathrm { f e r t } } ^ { T _ { \\mathrm { s t a t e } } } Z ^ { T } )\n$$", + "text_format": "latex", + "bbox": [ + 392, + 648, + 606, + 669 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "he final probability of predicted state is defined as the weighted sum of the two probabilities: ", + "bbox": [ + 191, + 669, + 782, + 684 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/ecd093e7bebc3e9d795ec61b6aef8e6d245bacb296fcc817cd4cb05de1ae2285.jpg", + "text": "$$\n\\begin{array} { r l } & { P ^ { \\mathrm { s t a t e } } = p _ { \\mathrm { g e n } } ^ { \\mathrm { s t a t e } } \\times P _ { \\mathrm { v o c a b } } ^ { \\mathrm { s t a t e } } + ( 1 - p _ { \\mathrm { g e n } } ^ { \\mathrm { s t a t e } } ) \\times P _ { \\mathrm { p t r } } ^ { \\mathrm { s t a t e } } } \\\\ & { p _ { \\mathrm { g e n } } ^ { \\mathrm { s t a t e } } = \\mathrm { s i g m o i d } ( W _ { \\mathrm { g e n } } V _ { \\mathrm { g e n } } ) } \\\\ & { V _ { \\mathrm { g e n } } = Z _ { \\mathrm { d s } \\times \\mathrm { f e r t } } \\oplus Z _ { \\mathrm { d s } \\times \\mathrm { f e r t } } ^ { T _ { \\mathrm { s t a t e } } } \\oplus Z _ { \\mathrm { e x p } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 336, + 685, + 661, + 747 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $W _ { \\mathrm { g e n } } \\in \\mathbb { R } ^ { 3 d \\times 1 }$ and $Z _ { \\mathrm { e x p } }$ is the expanded vector of $Z$ to match dimensions of $Z _ { \\mathrm { d s \\times f e r t } }$ . The final probability is used to train the state generation following the cross-entropy loss function: ", + "bbox": [ + 176, + 750, + 825, + 779 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/4faf3eb4a0fcfec60888bbfed12d2091ffc6358d1337fac0aa30586fbd5b44f0.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { s t a t e } } = \\sum _ { d _ { g } , s _ { h } } \\sum _ { m = 0 } ^ { Y _ { f } ^ { d _ { g } , s _ { h } } } - \\log ( P ^ { \\mathrm { s t a t e } } ( y _ { m } ^ { d _ { g } , s _ { h } } ) )\n$$", + "text_format": "latex", + "bbox": [ + 354, + 781, + 642, + 833 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.4 OPTIMIZATION ", + "text_level": 1, + "bbox": [ + 174, + 847, + 318, + 861 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We optimize all parameters by jointly training to minimize the weighted sum of the three losses: ", + "bbox": [ + 174, + 872, + 802, + 888 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/92dc72db57d2c078cfe4968d4ef7e12a063060bbff6fc03d4b49eb7e41ff03c9.jpg", + "text": "$$\n\\mathcal { L } = \\mathcal { L } _ { \\mathrm { s t a t e } } + \\alpha \\mathcal { L } _ { \\mathrm { g a t e } } + \\beta \\mathcal { L } _ { \\mathrm { f e r t } }\n$$", + "text_format": "latex", + "bbox": [ + 397, + 891, + 601, + 907 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\alpha \\geq 0$ and $\\beta \\geq 0$ are hyper-parameters. ", + "bbox": [ + 174, + 909, + 477, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 102, + 326, + 118 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 DATASET ", + "text_level": 1, + "bbox": [ + 174, + 132, + 279, + 147 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "MultiWOZ (Budzianowski et al., 2018) is one of the largest publicly available multi-domain taskoriented dialogue dataset with dialogue domains extended over 7 domains. In this paper, we use the new version of the MultiWOZ dataset published by Eric et al. (2019). The new version includes some correction on dialogue state annotation with more than $40 \\%$ change across dialogue turns. On average, each dialogue has more than one domain. We pre-processed the dialogues by tokenizing, lower-casing, and delexicalizing all system responses following the pre-processing scripts from (Wu et al., 2019). We identify a total of 35 (domain, slot) pairs. Other details of data pre-processing procedures, corpus statistics, and list of (domain, slot) pairs are described in Appendix A.1. ", + "bbox": [ + 174, + 159, + 825, + 270 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.2 TRAINING PROCEDURE ", + "text_level": 1, + "bbox": [ + 176, + 286, + 377, + 301 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We use label smoothing (Szegedy et al., 2016) to train the prediction of dialogue state $Y$ but not for prediction of fertilities $Y _ { \\mathrm { f e r t } }$ and gates $Y _ { \\mathrm { g a t e } }$ . During training, we adopt $100 \\%$ teacher-forcing learning strategy by using the ground-truth of $X _ { \\mathrm { d s \\times f e r t } }$ as input to the state decoder. We also apply the same strategy to obtain delexicalized dialogue history i.e. dialogue history is delexicalized from the ground-truth belief state in previous dialogue turn rather than relying on the predicted belief state. During inference, we follow a similar strategy as (Lei et al., 2018) by generating dialogue state turn-by-turn and use the predicted belief state in turn $t - 1$ to delexicalize dialogue history in turn $t$ . During inference, $X _ { \\mathrm { d s } \\times \\mathrm { f e r t } }$ is also constructed by prediction $\\hat { Y } _ { \\mathrm { g a t e } }$ and $\\hat { Y } _ { \\mathrm { f e r t } }$ . We adopt the Adam optimizer (Kingma & Ba, 2015) and the learning rate strategy similarly as (Vaswani et al., 2017). Best models are selected based on the best average joint accuracy of dialogue state prediction in the validation set. All parameters are randomly initialized with uniform distribution (Glorot & Bengio, 2010). We did not utilize any pretrained word- or character-based embedding weights. We tuned the hyper-parameters with grid-search over the validation set (Refer to Appendix A.2 for further details). We implemented our models using PyTorch (Paszke et al., 2017) and released the code on GitHub 1. ", + "bbox": [ + 173, + 313, + 825, + 523 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.3 BASELINES", + "text_level": 1, + "bbox": [ + 174, + 540, + 294, + 554 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The DST baselines can be divided into 2 groups: open-vocabulary approach and fixed-vocabulary approach as mentioned in Section 2. Fixed-vocabulary has the advantage of access to the known candidate set of each slot and has a high performance of prediction within this candidate set. However, during inference, the approach suffers from unseen slot values for slots with evolving candidates such as entity names and time- and location-related slots. ", + "bbox": [ + 174, + 566, + 825, + 636 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.3.1 FIXED-VOCABULARY ", + "text_level": 1, + "bbox": [ + 174, + 651, + 375, + 665 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "GLAD (Zhong et al., 2018). GLAD uses multiple self-attentive RNNs to learn a global tracker for shared parameters among slots and a local tracker for individual slot. The model utilizes previous system actions as input. The output is used to compute semantic similarity with ontology terms. ", + "bbox": [ + 174, + 675, + 825, + 717 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "GCE (Nouri & Hosseini-Asl, 2018). GCE is a simplified and faster version of GLAD. The model removes slot-specific RNNs while maintaining competitive DST performance. ", + "bbox": [ + 173, + 724, + 821, + 752 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "MDBT (Ramadan et al., 2018). MDBT model includes separate encoding modules for system utterances, user utterances, and (slot, value) pairs. Similar to GLAD, The model is trained based on the semantic similarity between utterances and ontology terms. ", + "bbox": [ + 174, + 760, + 825, + 801 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "FJST and HJST (Eric et al., 2019). FJST refers to Flat Joint State Tracker, which consists of a dialog history encoder as a bidirectional LSTM network. The model also includes separate feedforward networks to encode hidden states of individual state slots. HJST follows a similar architecture but uses a hierarchical LSTM network (Serban et al., 2016) to encode the dialogue history. ", + "bbox": [ + 174, + 809, + 825, + 864 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "SUMBT (Lee et al., 2019). SUMBT refers to Slot-independent Belief Tracker, consisting of a multi-head attention layer with query vector as a representation of a (domain, slot) pair and key and value vector as BERT-encoded dialogue history. The model follows a non-parametric approach as it is trained to minimize a score such as Euclidean distance between predicted and target slots. Our approach is different from SUMBT as we include attention among (domain, slot) pairs to explicitly learn dependencies among the pairs. Our models also generate slot values rather than relying on a fixed candidate set. ", + "bbox": [ + 176, + 871, + 825, + 900 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 172 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3.2 OPEN-VOCABULARY ", + "text_level": 1, + "bbox": [ + 176, + 190, + 370, + 204 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "TSCP (Lei et al., 2018). TSCP is an end-to-end dialogue model consisting of an RNN encoder and two RNN decoder with a pointer network. We choose this as a baseline because TSCP decodes dialogue state as a single sequence and hence, factor in potential dependencies among slots like our work. We adapt TSCP into multi-domain dialogues and report the performance of only the DST component rather than the end-to-end model. We also reported the performance of TSCP for two cases when the maximum length of dialogue state sequence $L$ in the state decoder is set to 8 or 20 tokens. Different from TSCP, our models dynamically learn the length of each state sequence as the sum of predicted fertilities and hence, do not rely on a fixed value of $L$ . ", + "bbox": [ + 173, + 215, + 825, + 327 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "DST Reader (Gao et al., 2019). DST Reader reformulates the DST task as a reading comprehension task. The prediction of each slot is a span over tokens within the dialogue history. The model follows an attention-based neural network architecture and combines a slot carryover prediction module and slot type prediction module. ", + "bbox": [ + 174, + 334, + 825, + 390 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "HyST (Goel et al., 2019). HyST model combines both fixed-vocabulary and open-vocabulary approach by separately choosing which approach is more suitable for each slot. For the openvocabulary approach, the slot candidates are formed as sets of all word n-grams in the dialogue history. The model makes use of encoder modules to encode user utterances and dialogue acts to represent the dialogue context. ", + "bbox": [ + 174, + 397, + 823, + 467 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "TRADE (Wu et al., 2019). This is the current state-of-the-art model on the MultiWOZ2.0 and 2.1 datasets. TRADE is composed of a dialog history encoder, a slot gating module, and an RNN decoder with a pointer network for state generation. SpanPtr is a related baseline to TRADE as reported by Wu et al. (2019). The model makes use of a pointer network with index-based copying instead of a token-based copying mechanism. ", + "bbox": [ + 174, + 474, + 825, + 544 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.4 RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 563, + 277, + 577 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We evaluate model performance by the joint goal accuracy as commonly used in DST (Henderson et al., 2014b). The metric compares the predicted dialogue states to the ground truth in each dialogue turn. A prediction is only correct if all the predicted values of all slots exactly match the corresponding ground truth labels. We ran our models for 5 times and reported the average results. For completion, we reported the results in both MultiWOZ 2.0 and 2.1. ", + "bbox": [ + 174, + 589, + 823, + 659 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "As can be seen in Table 2, although our models are designed for non-autoregressive decoding, they can outperform state-of-the-art DST approaches that utilize autoregressive decoding such as (Wu et al., 2019). Our performance gain can be attributed to the model capability of learning crossdomain and cross-slot signals, directly optimizing towards the evaluation metric of joint goal accuracy rather than just the accuracy of individual slots. Following prior DST work, we reported the model performance on the restaurant domain in MultiWOZ 2.0 in Table 4. In this dialogue domain, our model surpasses other DST models in both Joint Accuracy and Slot Accuracy. Refer to Appendix A.3 for our model performance in other domains in both MultiWOZ2.0 and MultiWOZ2.1. ", + "bbox": [ + 173, + 666, + 825, + 777 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Latency Analysis. We reported the latency results in term of wall-clock time (in ms) per prediction state of our models and the two baselines TRADE (Wu et al., 2019) and TSCP (Lei et al., 2018) in Table 4. For TSCP, we reported the time cost only for the DST component instead of the end-toend models. We conducted experiments with 2 cases of TSCP when the maximum output length of dialogue state sequence in the state decoder is set as $L = 8$ and $L = 2 0$ . We varied our models for different values of $T = T _ { \\mathrm { f e r t } } = T _ { \\mathrm { s t a t e } } \\in \\{ 1 , 2 , 3 \\}$ . All latency results are reported when running in a single identical GPU. As can be seen in Table 4, NADST obtains the best performance when $T = 3$ . The model outperforms the baselines while taking much less time during inference. Our approach is similar to TSCP which also decodes a complete dialogue state sequence rather than individual slots to factor in dependencies among slot values. However, as TSCP models involve sequential processing in both encoding and decoding, they require much higher latency. TRADE shortens the latency by separating the decoding process among (domain, slot) pairs. However, at the token level, TRADE models follow an auto-regressive process to decode individual slots and hence, result in higher average latency as compared to our approach. In NADST, the model latency is only affected by the number of attention layers in fertility decoder $T _ { \\mathrm { f e r t } }$ and state decoder $T _ { \\mathrm { s t a t e } }$ . For approaches with sequential encoding and/or decoding such as TSCP and TRADE, the latency is affected by the length of source sequences (dialog history) and target sequence (dialog state). Refer to Appendix A.3 for visualization of model latency in terms of dialogue history length. ", + "bbox": [ + 173, + 785, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/e0f20bccb8fdeabc6a8206016629d852fea9bf83ac09fdc3103f07522810a068.jpg", + "table_caption": [], + "table_footnote": [ + "Table 2: DST Joint Accuracy metric on MultiWOZ 2.1 and 2.0. †: results reported on MultiWOZ2.0 leaderboard. ?: results reported by Eric et al. (2019). Best results are highlighted in bold. " + ], + "table_body": "
ModelMultiWOZ2.1MultiWOZ2.0
MDBT (Ramadan et al., 2018) †15.57%
SpanPtr (Vinyals et al., 2015)30.28%
GLAD (Zhong et al., 2018) +35.57%
GCE (Nouri & Hosseini-Asl, 2018) +36.27%
HJST (Eric et al., 2019) *35.55%38.40%
DST Reader (single) (Gao et al., 2019) *36.40%39.41%
DST Reader (ensemble) (Gao et al.,2019)142.12%
TSCP (Lei et al., 2018)37.12%39.24%
FJST (Eric et al., 2019) *38.00%40.20%
HyST (ensemble) (Goel et al., 2019) *38.10%44.24%
SUMBT (Lee et al., 2019) +=46.65%
TRADE (Wu et al., 2019) *45.60%48.60%
Ours49.04%50.52%
", + "bbox": [ + 209, + 99, + 785, + 318 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 377, + 825, + 491 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/753c21d6d14fb29730bcc86a3d227f8188c8ff65a860da116c338a9e5f99b466.jpg", + "table_caption": [ + "Table 3: DST joint accuracy and slot accuracy on MultiWOZ2.0 restaurant domain. Baseline results (except TSCP) were from $\\mathrm { W u }$ et al. (2019). " + ], + "table_footnote": [], + "table_body": "
ModelJoint AccSlot Acc
MDBT17.98%54.99%
SPanPtr49.12%87.89%
GLAD53.23%96.54%
GCE60.93%95.85%
TSCP62.01%97.32%
TRADE65.35%93.28%
Ours69.21%98.84%
", + "bbox": [ + 200, + 512, + 464, + 631 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/421cfa40798330a11e590a2715b7d28592d40ad4345675f0f35a29d038c0ea18.jpg", + "table_caption": [], + "table_footnote": [ + "Table 4: Latency analysis on MultiWOZ2.1. Latency is reported in terms of wall-clock time in ms per prediction state. " + ], + "table_body": "
ModelJoint Acc Latency Speed Up
TRADE 45.60%362.15×2.12
TSCP (L=8) 32.15%493.44×1.56
TSCP (L=20) 37.12%767.57×1.00
Ours (T=1) 42.98%15.18×50.56
Ours (T=2) 45.78%21.67×35.42
Ours (T=3) 49.04%27.31×28.11
", + "bbox": [ + 529, + 508, + 813, + 631 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Ablation Analysis. We conduct an extensive ablation analysis with several variants of our models in Table 5. Besides the results of DST metrics, Joint Slot Accuracy and Slot Accuracy, we reported the performance of the fertility decoder in Joint Gate Accuracy and Joint Fertility Accuracy. These metrics are computed similarly as Joint Slot Accuracy in which the metrics are based on whether all predictions of gates or fertilities match the corresponding ground truth labels. We also reported the Oracle Joint Slot Accuracy and Slot Accuracy when the models are fed with ground truth $X _ { \\mathrm { d s \\times f e r t } }$ and $X _ { \\mathrm { d e l } }$ labels instead of the model predictions. We noted that the model fails when positional encoding of $X _ { \\mathrm { d s \\times f e r t } }$ is removed before being passed to the state decoder. The performance drop can be explained because $P E$ is responsible for injecting sequential attributes to enable non-autoregressive decoding. Second, we also note a slight drop of performance when slot gating is removed as the models have to learn to predict a fertility of 1 for “none” and “dontcare” slots as well. Third, removing $X _ { \\mathrm { d e l } }$ as an input reduces the model performance, mostly due to the sharp decrease in Joint Fertility Accuracy. Lastly, removing pointer generation and relying on only $P _ { \\mathrm { v o c a b } } ^ { \\mathrm { s t a t e } }$ affects the model performance as the models are not able to infer slot values unseen during training, especially for slots such as restaurant-name and train-arriveby. We conduct other ablation experiments and report additional results in Appendix A.3. ", + "bbox": [ + 173, + 702, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/53f4ecac955ee9adbc4d0d08b2b10531246e234385366001bfbe137e687f755c.jpg", + "table_caption": [], + "table_footnote": [ + "Table 5: Ablation analysis on MultiWOZ 2.1 on 4 components: partially delexicalized dialogue history $X _ { d e l }$ , slot gating, positional encoding $P E ( X _ { d s \\times f e r t } )$ , and pointer network. " + ], + "table_body": "
XdelSlot GatingPE(Xdsxfert)Pointer Gen.Joint Gate AccJoint Fert. AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
66.65%63.18%49.04%97.31%73.44%99.01%
59.23%57.83%19.56%94.36%72.12%98.96%
N/A64.23%48.74%96.62%73.01%98.97%
48.23%45.35%39.45%95.92%66.27%98.63%
√(no sys. act)52.45%56.81%44.87%96.95%70.83%98.74%
63.19%58.31%43.46%96.72%64.37%98.39%
44.22%42.01%34.48%95.89%61.32%98.24%
N/A41.35%33.52%95.42%60.99%98.19%
", + "bbox": [ + 176, + 99, + 821, + 204 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Auto-regressive DST. We conduct experiments that use an auto-regressive state decoder and keep other parts of the model the same. For the fertility decoder, we do not use Equation 14 and 16 as fertility becomes redundant in this case. We still use the output to predict slot gates. Similar to TRADE, we use the summation of embedding vectors of each domain and slot pair as input to the state decoder and generate slot value token by token. First, From Table 6, we note that the performance does not change significantly as compared to the non-autoregressive version. This reveals that our proposed NADST models can predict fertilities reasonably well and performance is comparable with the auto-regressive approach. Second, we observe that the auto-regressive models are less sensitive to the use of system action in dialogue history delexicalization. We expect this as predicting slot gates is easier than predicting fertilities. Finally, we note that our auto-regressive model variants still outperform the existing approaches. This could be due to the high-level dependencies among (domain, slot) pairs learned during the first part of the model to predict slot gates. ", + "bbox": [ + 174, + 270, + 825, + 436 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/a6d4fadf67cb00ee1fb240147ce0054ab3c1d0bc3cc261661841f247043a4ef0.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
MultiWOZSys. ActJoint Gate AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
2.1165.89%49.76%97.40%71.39%98.92%
2.162.04%46.57%97.23%66.72%98.65%
2.068.81%50.08%97.44%79.04%99.22%
2.065.27%50.46%97.43%76.21%99.08%
", + "bbox": [ + 222, + 449, + 776, + 530 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Table 6: Performance of auto-regressive model variants on MultiWOZ2.0 and 2.1. Fertility prediction is removed as fertility becomes redudant in auto-regressive models. ", + "bbox": [ + 174, + 540, + 821, + 568 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Visualization and Qualitative Evaluation. In Figure 4, we include two examples of dialogue state prediction and the corresponding visualization of self-attention scores of $X _ { d s \\times f e r t }$ in state decoder. In each heatmap, the highlighted boxes express attention scores among non-symmetrical domain-slot pairs. In the first row, 5 attention heads capture the dependencies of two pairs (trainleaveat, train-arriveby) and (train-departure, train-destination). The model prediction for these two slots matches the gold labels: (train-leaveat, 09:50), (train-arriveby, 11:30) and (train-departure, cambridge), (train-destination, ely) respectively. In the second row, besides slot-level dependency between domain-slot pairs (taxi-departure, taxi-destination), token-level dependency is exhibited through the attention between attraction-type and attraction-name. By attending on token representations of attraction-name with corresponding output “christ college”, the models can infer “attraction-type=college” correctly. In addition, our model also detects contextual dependency between train-departure and attraction-name to predict “train-departure $\\underline { { \\underline { { \\mathbf { \\Pi } } } } }$ christ college.” Refer to Appendix A.4 for the dialogue history with gold and prediction states of these two sample dialogues. ", + "bbox": [ + 174, + 583, + 825, + 765 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 784, + 318, + 800 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We proposed NADST, a novel Non-Autoregressive neural architecture for DST that allows the model to explicitly learn dependencies at both slot-level and token-level to improve the joint accuracy rather than just individual slot accuracy. Our approach also enables fast decoding of dialogue states by adopting a parallel decoding strategy in decoding components. Our extensive experiments on the well-known MultiWOZ corpus for large-scale multi-domain dialogue systems benchmark show that our NADST model achieved the state-of-the-art accuracy results for DST tasks, while enjoying a substantially low inference latency which is an order of magnitude lower than the prior work. 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URL https: //www.aclweb.org/anthology/P18-1135. ", + "bbox": [ + 174, + 733, + 825, + 804 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 102, + 297, + 117 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.1 DATASET PRE-PROCESSING ", + "text_level": 1, + "bbox": [ + 176, + 133, + 408, + 147 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We follow similar data preprocessing procedures as Budzianowski et al. (2018) and Wu et al. (2019) on both MultiWOZ 2.0 and 2.1. The resulting corpus includes 8,438 multi-turn dialogues in training set with an average of 13.5 turns per dialogue. For the test and validation set, each includes 1,000 multi-turn dialogues with an average of 14.7 turns per dialogue. The average number of domains per dialogue is 1.8 for training, validation, and test sets. The MultiWOZ corpus includes much larger ontology than previous DST datasets such as WOZ (Wen et al., 2017) and DSTC2 (Henderson et al., 2014a). We identified a total of 35 (domain, slot) pairs across 7 domains. However, only 5 domains are included in the test data. Refer to Table 7 for the statistics of dialogues in these 5 domains. ", + "bbox": [ + 174, + 159, + 825, + 271 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/99dd42f0075c0bec9534a47a6b5488ca22272a788c67115e8f67d68ab2408e73.jpg", + "table_caption": [ + "Table 7: Summary of MultiWOZ dataset 2.1 " + ], + "table_footnote": [], + "table_body": "
DomainattractionhotelrestauranttaxitrainAll
Slotareanametypeareabookdaybookpeoplebookstayinternetnameparkingpricerangestarstypeareabookdaybookpeoplebooktimefoodnamepricerangearrivebydeparturedestinationleaveatarrivebybookpeopledaydeparturedestinationleaveat=
train3,3813,1032,7173,8131,6548,438
val4164844014382071,000
test3944943954371951,000
", + "bbox": [ + 222, + 284, + 776, + 464 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.2 MODEL HYPER-PARAMETERS ", + "text_level": 1, + "bbox": [ + 176, + 513, + 426, + 529 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We employed dropout (Srivastava et al., 2014) of 0.2 at all network layers except the linear layers of generation network components and pointer attention components. We used a batch size of 32, embedding dimension $d = 2 5 6$ in all experiments. We also fixed the number of attention heads to 16 in all attention layers. We shared the embedding weights to embed domain and slot tokens as input to fertility decoder and state decoder. We also shared the embedding weights between dialogue history encoder and state generator. We varied our models for different values of $T = T _ { f e r t } = T _ { s t a t e } \\in$ $\\{ 1 , 2 , 3 \\}$ . In all experiments, the warmup steps are fine-tuned from a range from 13K to 20K training steps. ", + "bbox": [ + 173, + 540, + 825, + 651 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.3 ADDITIONAL RESULTS ", + "text_level": 1, + "bbox": [ + 176, + 667, + 377, + 683 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Domain-specific Results. We conduct experiments to evaluate our model performance in all 5 test domains in MultiWOZ2.0 and 2.1. From Table 8, our models perform better in restaurant and attraction domain in general. The performance in the taxi and hotel domain is significantly lower than other domains. This could be explained as the hotel domain has a complicated slot ontology with 10 different slots, larger than the other domains. For the taxi domain, we observed that dialogues with this domain are usually of multiple domains, including the taxi domain in combination with other domains. Hence, it is more challenging to track dialogue states in the taxi domain. ", + "bbox": [ + 173, + 694, + 825, + 791 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Latency Results. We visualized the model latency against the length of dialogue history in Figure 2 and 3. In Figure 2, we only plot with dialogue history length up to 80 tokens as TSCP models do not use the full dialogue history as input. In Figure 3, for a fair comparison between TRADE and NADST, we plot the latency of the original TRADE which decodes dialogue state slot by slot and a new version of TRADE∗ model which decodes individual slots following a parallel decoding mechanism. Since TRADE independently generates dialogue state slot by slot, we enable parallel generation simply by feeding all slots into models at once (without impacts on performance). However, at the token level, TRADE∗ still follows an autoregressive decoding framework. Compared to TRADE∗ and TSCP, our model latency is only dependent on the model complexity i.e. the number of attention layers $T = T _ { f e r t } = T _ { s t a t e }$ . For TRADE∗ and TSCP, the model latency increases as dialogue extends over time while NADST latency is almost constant. The non-constant latency is mostly due to overhead processing such as delexicalizing dialogue history. Our approach is, hence, suitable especially for dialogues in multiple domains as they usually extend over more number of turns (e.g. 13 to 14 turns per dialogue in average in MultiWOZ corpus) In Figure 3, we noted that the latency of the original TRADE is almost unchanged as the dialogue history extends. This is most likely due to the model having to decode all possible (domain, slot) pairs rather than just relevant pairs as in NADST and TSCP. The TRADE∗ shows a clearer increasing trend of latency because the parallel process is independent of the number of (domain,slot) pairs considered. TRADE∗ still requires more time to decode than NADST as we also parallelize decoding at the token level. ", + "bbox": [ + 173, + 797, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/4f90abaa415c69b0d8e2cfeef299b2aeb123952688e5a73143d140b89e8d3783.jpg", + "table_caption": [ + "Table 8: Additional domain-specific results of our model in MultiWOZ2.0 and MultiWOZ2.1. The model performs best with the restaurant domain and worst with the taxi domain. " + ], + "table_footnote": [], + "table_body": "
MultiWOZ2.1MultiWOZ2.0
DomainJoint AccSlotJoint AccSlot
Hotel48.76%97.70%53.86%97.75%
Train62.36%98.36%58.58%98.08%
Attraction66.83%98.89%74.21%99.19%
Restaurant65.37%98.78%69.21%98.84%
Taxi33.80%96.69%34.94%96.76%
", + "bbox": [ + 294, + 99, + 705, + 203 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 267, + 825, + 409 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/7d62c30615b53c3ffca6ed161c5e7b74a2c23e2990d169d20c0d2be0d5d381f8.jpg", + "image_caption": [ + "Figure 2: Comparison of model latency as wall-clock time (in ms) per prediction of complete dialogue state (not by individual slot). The latency is plotted against the length of the dialogue history. We compare our models with TSCP (Lei et al., 2018) with varied maximum output length of dialogue states $L = 8$ and $L = 2 0$ . We vary our models with different values of number of attention layers $T = T _ { f e r t } = T _ { s t a t e } = 1 , 2 , 3$ . Our models are more scalable as the latency does not change significantly when dialogue history extends over time. " + ], + "image_footnote": [], + "bbox": [ + 184, + 433, + 810, + 747 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Ablation Results. We conduct additional ablation experiments by varying the proportion of prediction values vs. ground-truth values for $X _ { d e l }$ and $X _ { d s \\times f e r t }$ as input to the models. As can be seen in Table 9, the model performance increases gradually as the proportion of prediction input $\\%$ pred reduces from $100 \\%$ (true prediction) to $0 \\%$ (oracle prediction). In particular, we observe more significant changes in performance against changes of $\\%$ pred of $X _ { d s \\times f e r t }$ . The model performance can increase up to more than $67 \\%$ joint accuracy when we have an oracle input of $X _ { d s \\times f e r t }$ . However, we consider improving model performance by $X _ { d e l }$ more practically achievable. For example, we can make use of a more sophisticated mechanism to delexicalize dialog history rather than exact word matching as the current strategy. Another example is having better $X _ { d e l }$ through a pretrained NLU model. In the ideal case with access to ground-truth labels of both $X _ { d e l }$ and $X _ { d s \\times f e r t }$ , the model can obtain a joint accuracy of $73 \\%$ . ", + "bbox": [ + 174, + 867, + 823, + 924 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/2c08b7341d37aa5dfb78de8a26e65d9b6448146ad773f5949f036455895dd369.jpg", + "image_caption": [ + "Figure 3: Comparison of model latency as wall-clock time (in ms) per prediction of complete dialogue state. The latency is plotted against the length of the dialogue history. For a fair comparison, we compare our models with TRADE (Wu et al., 2019) in 2 cases: original TRADE which decodes dialogue state slot by slot and TRADE∗ which decodes dialogue state in parallel at slot-level. Here we plot the base-10 logarithm of latency to show the difference between the 2 cases of TRADE. We vary our models with different values of number of attention layers $T = T _ { f e r t } = T _ { s t a t e } = 1 , 2 , 3$ . Our models are more scalable as the latency does not change significantly when dialogue history extends over time. " + ], + "image_footnote": [], + "bbox": [ + 184, + 112, + 810, + 426 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 594, + 825, + 694 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/085e47e04586964d8458178542f98139db7aa51d69d9cda6729f0446106a86cd.jpg", + "table_caption": [ + "Table 9: Additional results of our model in MultiWOZ2.1 when we assume access to the groundtruth labels of $X _ { d e l }$ and $X _ { d s \\times f e r t }$ (oracle prediction). We vary the the percentage of using the model prediction $\\hat { X } _ { d e l }$ and $\\hat { X } _ { d s \\times f e r t }$ from $100 \\%$ (true prediction) to $0 \\%$ (oracle prediction). " + ], + "table_footnote": [], + "table_body": "
%pred Xdel%pred XdsxfertJoint AccSlot Acc%pred Xdel%pred XdsxfertJoint AccSlot Acc
0%100%57.40%98.06%100%0%67.32%98.67%
20%100%56.50%97.98%100%20%64.09%98.47%
40%100%55.24%97.91%100%40%61.29%98.29%
60%100%53.58%97.79%100%60%57.02%98.00%
80%100%52.02%97.67%100%80%54.11%97.76%
100%100%49.04%97.31%100%100%49.04%97.31%
0%0%73.44%99.01%0%0%73.44%99.01%
", + "bbox": [ + 205, + 717, + 790, + 847 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/f24021160ad2cc8757b501d0e5677939806c5a126234b3aff52f64e8ac4dbdbc.jpg", + "image_caption": [ + "Figure 4: Heatmap visualization of self-attention scores of 5 heads between $\\textstyle Z _ { d s \\times f e r t }$ representations in the state decoder. The corresponding prediction output for each representation is presented on the right side. The examples are for the ${ \\bf { \\bar { 6 } } } ^ { t h }$ turn in dialogue ID MUL0536 (upper row) and PMUL3759 (lower row) in MultiWOZ2.1. " + ], + "image_footnote": [], + "bbox": [ + 178, + 103, + 825, + 349 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A.4 SAMPLE PREDICTION OUTPUT", + "text_level": 1, + "bbox": [ + 176, + 443, + 431, + 457 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We extracted prediction output in all turns for 2 example dialogues: MUL0536 and PMUL3759. ", + "bbox": [ + 171, + 462, + 803, + 478 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/44e654f979c668baf1af46aec3cda0d45376a9b140dc6b7e763ee76e1327de84.jpg", + "table_caption": [ + "Table 10: Full set of predicted dialogue states for dialogue ID MUL0536 in MultiWOZ2.1. " + ], + "table_footnote": [], + "table_body": "
Human:i am looking for abbey pool and astroturf pitch can you help me ?
Turn 1Gold Dialog State:(attraction-name,abbey pool and astroturf pitch)
Predicted Dialog State:(attraction-name,abbey pool and astroturf pitch)
yes,abbey pool and astroturf pitch is a swimmingpool east of town .their number is O1223902088,
System:and address is pool way,whitehill road,off newmarket road . postcode cb58nt .
Turn 2Human:thank you very much for the information .that is alli needed help with . have a nice day.
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool)
Predicted Dialog State:(attraction-area, east),(attraction-name,abbey pool and astroturf pitch)
System:you are welcome .let me know if i can do anything else for you .
Human:i actually do need to find a train going to ely.
Turn 3Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool),
(train-destination-ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-destination-ely)
System:is that leaving from cambridge ?and if so,what time would you like to arrive in ely ?
Turn 4Human:yes,i willbe leaving cambridge and going toely,i would like it toarrive by 11:30. (atraction-area,east),(attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
(train-departure,cambridge),(train-destination, ely) what day would yoube traveling ?there are 2,828 trains on that route.there isa train that departs friday at
Turn 5System:9:50 and will arrive in ely at 10:07 .
Human:Oops !i guess forgot to mention it s thursday that i need to travel .
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
System:(train-day, thursday),(train-departure,cambridge),(train-destination, ely) there are 3 trains that would fit,leaving at O5:50,O7:50,or 09:50.
Turn 6Human:can i get info for the O9:5O the price and the trains id please ?
(attraction-area,east),(attraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge), (train-destination, ely), (train-leaveat, 09:50)
(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat, 09:50)
System:certainly .the train s id is tr1923,and the price for a ticket is 4.40 pounds .
Turn 7Human:great,thank you ! that will be allineed for now.
Gold Dialog State:(atraction-area,east), (attraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50) (attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat,09:50)
System:are you certain you do not need further assistance ?
Turn 8Human:9:50 departure,4.40 pounds,trl923 .i got it,thank you ! (atraction-area,east), (attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O), (train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50)
Predicted Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
", + "bbox": [ + 178, + 167, + 820, + 829 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/1f28e20e859a4b30dd11d58f27bcd11faf036c53f9734e61292e6231b7416ec6.jpg", + "image_caption": [ + "Figure 5: Visualization of all attention heads in the last attention step $T _ { s t a t e }$ in the state decoder. The DST prediction is done for the $6 ^ { t h }$ turn in dialogue ID MUL0536 in MultiWOZ2.1. " + ], + "image_footnote": [], + "bbox": [ + 171, + 214, + 759, + 838 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/f5de6ca3b516ac04cdf94f8ad0bbda7298658e1e2f790593d11ceaad4797aa4e.jpg", + "table_caption": [ + "Table 11: Full set of predicted dialogue states for dialogue ID PMUL3759 in MultiWOZ2.1. " + ], + "table_footnote": [], + "table_body": "
Human:what s your favorite college to visit in cambridge ?
Turn 1Gold Dialog State:(attraction-type,college)
Predicted Dialog State:(attraction-type,college)
ilike christ scollege in the center of town,but there are many others throughout the city.what part of
System:
the city did you want to visit ?
Turn 2 Human:i think i would like to visit that location,it seems nice .could i get the phone number and the area ?
Gold Dialog State:(attraction-name,christ college),(attraction-type,college)
Predicted Dialog State:(attraction-area,centre),(attraction-name,christ college),(attraction-type,college)
System:the area is centre and the phone number is O122333490o.is there anything else ican help you with ? actually,iam hungry .can you find me arestaurant that serves north american food ? something not
Turn 3Human:super expensive,maybe in a moderate price range ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-food,modern american), (restaurant-pricerange, moderate)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college),(restaurant-food, north american),
System:(restaurant-pricerange,moderate) iam sorry,there s no restaurant serving specifically north american or american food in my database,
Turn 4Human:is there another type of food you would consider ? how about modern european food ?
(attraction-name,christ college),(atraction-type,collge),(restaurant-food,modern european),
Gold Dialog State:(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-food, modern european), (restaurant-pricerange, moderate)
System:there are 3 modern european restaurant -s 2 in the center and1 in the south .do you have a preference ?
Turn 5Human:i would prefer the 1 on the centre,could i have the phone number and postcode please ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
(restaurant-food, modern european),(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-area,centre), (restaurant-food, modern european),(restaurant-pricerange, moderate)
System:de luca cucina and bar s phone number is O1223356666. postcode is cb2law.
Turn 6Human:could you help me get a taxi to get from the college to the restaurant ?
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate),(taxi-departure,christcolge), (taxi-destination,de luca cucina and bar)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ colge), (taxi-destination,de luca cucina and bar)
System:what time would you like to leave thecollege?icanbook youataxi to take you to the restaurant if you
Turn 7would like.
Human:i would like to leave by 13:00. (attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre), (restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christcolge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,13:00)
System:ihave booked youataxi leaving at12:45.the car will beared toyotaand contact number is O7350032543 .anything else today ?
Turn 8Human:that s it .thank you very much .
(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
System:will you need anymore information concerning your stay ?
that is all,thanks for the help.
Turn 9Human:
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate), (taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:
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In this paper, we propose a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "score": 1.0, + "content": "novel framework of Non-Autoregressive Dialog State Tracking (NADST) which", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "score": 1.0, + "content": "can factor in potential dependencies among domains and slots to optimize the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 343, + 469, + 355 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 469, + 355 + ], + "score": 1.0, + "content": "models towards better prediction of dialogue states as a complete set rather than", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 354, + 469, + 366 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 469, + 366 + ], + "score": 1.0, + "content": "separate slots. In particular, the non-autoregressive nature of our method not only", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 142, + 365, + 469, + 377 + ], + "spans": [ + { + "bbox": [ + 142, + 365, + 469, + 377 + ], + "score": 1.0, + "content": "enables decoding in parallel to significantly reduce the latency of DST for real-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 376, + 470, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 470, + 389 + ], + "score": 1.0, + "content": "time dialogue response generation, but also detect dependencies among slots at", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 387, + 470, + 399 + ], + "spans": [ + { + "bbox": [ + 141, + 387, + 470, + 399 + ], + "score": 1.0, + "content": "token level in addition to slot and domain level. Our empirical results show that", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 398, + 470, + 410 + ], + "spans": [ + { + "bbox": [ + 141, + 398, + 470, + 410 + ], + "score": 1.0, + "content": "our model achieves the state-of-the-art joint accuracy across all domains on the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 409, + 469, + 421 + ], + "spans": [ + { + "bbox": [ + 141, + 409, + 469, + 421 + ], + "score": 1.0, + "content": "MultiWOZ 2.1 corpus, and the latency of our model is an order of magnitude", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 419, + 465, + 432 + ], + "spans": [ + { + "bbox": [ + 141, + 419, + 465, + 432 + ], + "score": 1.0, + "content": "lower than the previous state of the art as the dialogue history extends over time.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 16, + "bbox_fs": [ + 141, + 222, + 470, + 432 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 449, + 206, + 461 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 208, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 208, + 465 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 473, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "In task-oriented dialogues, a dialogue agent is required to assist humans for one or many tasks such", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 484, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 496 + ], + "score": 1.0, + "content": "as finding a restaurant and booking a hotel. As a sample dialogue shown in Table 1, each user", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "score": 1.0, + "content": "utterance typically contains important information identified as slots related to a dialogue domain", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "such as attraction-area and train-day. 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Human: Dialog State:i want to visit a theater in the center of town (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:there are 4 matches.ido not have any info on the fees.do you have any other preferences ? no other preferences,i just want to be sure to get the phone number of whichever theatre we pick . (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:irecommendthecambridgecorn exchangethere phone numberis O1223357851.isthere anything elseican helpyou with? yes,i am looking for a tuesday train. (attraction-area,centre),(atraction-name,thecambridgecor exchange),(attraction-type,theatre),(train-day,tuesday)
System: Human:where will you be departing fromand what s your destination ? from cambridge to london liverpool street
Dialog State:(atraction-area,centre),(atraction-name,thecambridgecon exchange),(attraction-type,theatre),(train-day,tuesday), (train-departure, cambridge), (train-destination, london liverpool street)
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The", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "score": 1.0, + "content": "dialogue states in red and blue denote slots from the attraction domain and train domain respectively.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 183, + 460, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 460, + 197 + ], + "score": 1.0, + "content": "Slot values are expressed in user and system utterances (highlighted by underlined text).", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 107, + 218, + 505, + 273 + ], + "lines": [ + { + "bbox": [ + 106, + 218, + 504, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 504, + 230 + ], + "score": 1.0, + "content": "latency in NMT by using neural network architectures such as convolution (Krizhevsky et al., 2012)", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 228, + 506, + 242 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 506, + 242 + ], + "score": 1.0, + "content": "and attention (Luong et al., 2015). 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(2018). Fertility denotes the number of times", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 291, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 302 + ], + "score": 1.0, + "content": "each input token is copied to form a sequence as the input to the decoder for non-autoregressive", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 300, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 506, + 314 + ], + "score": 1.0, + "content": "decoding. We first reconstruct dialogue state as a sequence of concatenated slot values. The result", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 312, + 504, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 504, + 325 + ], + "score": 1.0, + "content": "sequence contains the inherent structured representation in which we can apply the fertility concept.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 321, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 336 + ], + "score": 1.0, + "content": "The structure is defined by the boundaries of individual slot values. These boundaries can be easily", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 333, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 505, + 346 + ], + "score": 1.0, + "content": "obtained from dialogue state itself by simply measuring number of the tokens of individual slots.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 343, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 358 + ], + "score": 1.0, + "content": "Our model includes a two-stage decoding process: (1) the first decoder learns relevant signals from", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "the input dialogue history and generates a fertility for each input slot representation; and (2) the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "predicted fertility is used to form a structured sequence which consists of multiple sub-sequences,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 232, + 390 + ], + "score": 1.0, + "content": "each represented as (slot token", + "type": "text" + }, + { + "bbox": [ + 232, + 379, + 240, + 387 + ], + "score": 0.56, + "content": "\\times", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "slot fertility). 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Human: Dialog State:i want to visit a theater in the center of town (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:there are 4 matches.ido not have any info on the fees.do you have any other preferences ? no other preferences,i just want to be sure to get the phone number of whichever theatre we pick . (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:irecommendthecambridgecorn exchangethere phone numberis O1223357851.isthere anything elseican helpyou with? yes,i am looking for a tuesday train. (attraction-area,centre),(atraction-name,thecambridgecor exchange),(attraction-type,theatre),(train-day,tuesday)
System: Human:where will you be departing fromand what s your destination ? from cambridge to london liverpool street
Dialog State:(atraction-area,centre),(atraction-name,thecambridgecon exchange),(attraction-type,theatre),(train-day,tuesday), (train-departure, cambridge), (train-destination, london liverpool street)
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Traditionally,", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 708, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 214 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "DST is coupled with Natural Language Understanding (NLU). NLU output as tagged user utterances", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "is input to DST models to update the dialogue states turn by turn (Kurata et al., 2016; Shi et al., 2016;", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "Rastogi et al., 2017). Recent approaches combine NLU and DST to reduce the credit assignment", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 104, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "problem and remove the need for NLU (Mrksiˇ c et al., 2017; Xu & Hu, 2018; Zhong et al., 2018). ´", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "Within this body of research, Goel et al. (2019) differentiates two DST approaches: fixed- and open-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "vocabulary. Fixed-vocabulary approaches are usually retrieval-based methods in which all candidate", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 504, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 504, + 161 + ], + "score": 1.0, + "content": "pairs of (slot, value) from a given slot ontology are considered and the models predict a probability", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "score for each pair (Henderson et al., 2014c; Ramadan et al., 2018; Lee et al., 2019). Recent work", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "has moved towards open-vocabulary approaches that can generate the candidates based on input text", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 193 + ], + "score": 1.0, + "content": "i.e. dialogue history (Lei et al., 2018; Gao et al., 2019; Wu et al., 2019). Our work is more related", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "score": 1.0, + "content": "to these models, but different from most of the current work, we explicitly consider dependencies", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 204, + 381, + 215 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 381, + 215 + ], + "score": 1.0, + "content": "among slots and domains to decode dialogue state as a complete set.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 108, + 228, + 282, + 239 + ], + "lines": [ + { + "bbox": [ + 106, + 227, + 283, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 283, + 240 + ], + "score": 1.0, + "content": "2.2 NON-AUTOREGRESSIVE DECODING", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 248, + 505, + 446 + ], + "lines": [ + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "Most of prior work in non- or semi-autoregressive decoding methods are used for NMT to address", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 259, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 505, + 272 + ], + "score": 1.0, + "content": "the need for fast translation. Schwenk (2012) proposes to estimate the translation model probabili-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 270, + 506, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 506, + 283 + ], + "score": 1.0, + "content": "ties of a phase-based NMT system. Libovicky & Helcl (2018) formulates the decoding process as `", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "score": 1.0, + "content": "a sequence labeling task by projecting source sequence into a longer sequence and applying CTC", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 292, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 505, + 305 + ], + "score": 1.0, + "content": "loss (Graves et al., 2006) to decode the target sequence. Wang et al. (2019) adds regularization", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "score": 1.0, + "content": "terms to NAT models (Gu et al., 2018) to reduce translation errors such as repeated tokens and in-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 314, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 506, + 327 + ], + "score": 1.0, + "content": "complete sentences. Ghazvininejad et al. (2019) uses a non-autoregressive decoder with masked", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "attention to decode target sequences over multiple generation rounds. A common challenge in non-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "autoregressive NMT is the large number of sequential latent variables, e.g., fertility sequences (Gu", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "et al., 2018) and projected target sequences (Libovicky & Helcl, 2018). These latent variables are `", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 358, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 506, + 371 + ], + "score": 1.0, + "content": "used as supporting signals for non- or semi-autoregressive decoding. We reformulate dialogue state", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "as a structured sequence with sub-sequences defined as a concatenation of slot values. This form of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "dialogue state can be inferred easily from the dialogue state annotation itself whereas such super-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "score": 1.0, + "content": "vision information is not directly available in NMT. The lower semantic complexity of slot values", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "as compared to long sentences in NMT makes it easier to adopt non-autoregressive approaches", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "into DST. According to our review, we are the first to apply a non-autoregressive framework for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "score": 1.0, + "content": "generation-based DST. Our approach allows joint state tracking across slots, which results in better", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 435, + 393, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 393, + 448 + ], + "score": 1.0, + "content": "performance and an order of magnitude lower latency during inference.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 21.5 + }, + { + "type": "title", + "bbox": [ + 108, + 462, + 182, + 475 + ], + "lines": [ + { + "bbox": [ + 105, + 460, + 185, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 185, + 478 + ], + "score": 1.0, + "content": "3 APPROACH", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "score": 1.0, + "content": "Our NADST model is composed of three parts: encoders, fertility decoder, and state decoder, as", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 352, + 511 + ], + "score": 1.0, + "content": "shown in Figure 1. The input includes the dialogue history", + "type": "text" + }, + { + "bbox": [ + 353, + 498, + 427, + 510 + ], + "score": 0.91, + "content": "\\boldsymbol { X } = ( x _ { 1 } , . . . , x _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "and a sequence of", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 229, + 522 + ], + "score": 1.0, + "content": "applicable (domain, slot) pairs", + "type": "text" + }, + { + "bbox": [ + 229, + 509, + 351, + 521 + ], + "score": 0.91, + "content": "X _ { \\mathrm { d s } } = ( ( d _ { 1 } , s _ { 1 } ) , . . . , ( d _ { G } , s _ { H } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 509, + 382, + 522 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 382, + 510, + 391, + 519 + ], + "score": 0.83, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 509, + 408, + 522 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 408, + 510, + 419, + 519 + ], + "score": 0.8, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "are the total numbers", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "of domains and slots, respectively. 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We reformulate the output as a concatenation of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 102, + 551, + 504, + 571 + ], + "spans": [ + { + "bbox": [ + 102, + 551, + 150, + 571 + ], + "score": 1.0, + "content": "slot values", + "type": "text" + }, + { + "bbox": [ + 151, + 553, + 442, + 567 + ], + "score": 0.87, + "content": "Y ^ { d _ { i } , s _ { j } } \\colon Y = ( Y ^ { d _ { 1 } , s _ { 1 } } , . . . , Y ^ { d _ { I } , s _ { J } } ) = ( y _ { 1 } ^ { d _ { 1 } , s _ { 1 } } , y _ { 2 } ^ { d _ { 1 } , s _ { 1 } } , . . . , y _ { 1 } ^ { d _ { I } , s _ { J } } , y _ { 2 } ^ { d _ { I } , s _ { J } } , . . . )", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 551, + 471, + 568 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 471, + 555, + 478, + 565 + ], + "score": 0.78, + "content": "I", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 551, + 496, + 568 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 496, + 555, + 504, + 565 + ], + "score": 0.79, + "content": "J", + "type": "inline_equation" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 564, + 423, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 423, + 579 + ], + "score": 1.0, + "content": "are the numbers of domains and slots in the output dialogue state, respectively.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 702 + ], + "lines": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "First, the encoders use token-level embedding and positional encoding to encode the input dia-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "logue history and (domain, slot) pairs into continuous representations. The encoded domains and", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "slots are then input to stacked self-attention and feed-forward network to obtain relevant signals", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 103, + 613, + 507, + 633 + ], + "spans": [ + { + "bbox": [ + 103, + 613, + 299, + 633 + ], + "score": 1.0, + "content": "across dialogue history and generate a fertility", + "type": "text" + }, + { + "bbox": [ + 300, + 615, + 328, + 632 + ], + "score": 0.93, + "content": "Y _ { f } ^ { d _ { g } , s _ { h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 613, + 447, + 633 + ], + "score": 1.0, + "content": "for each (domain, slot) pair", + "type": "text" + }, + { + "bbox": [ + 447, + 617, + 479, + 631 + ], + "score": 0.93, + "content": "\\left( d _ { g } , s _ { h } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 613, + 507, + 633 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 102, + 628, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 102, + 629, + 389, + 650 + ], + "score": 1.0, + "content": "output of fertility decoder is defined as a sequence: Yfert = Y d1,s1f ,", + "type": "text" + }, + { + "bbox": [ + 324, + 631, + 432, + 648 + ], + "score": 0.93, + "content": "Y _ { \\mathrm { f e r t } } = Y _ { f } ^ { d _ { 1 } , s _ { 1 } } , . . . , Y _ { f } ^ { d _ { G } , s _ { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 628, + 463, + 648 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 463, + 631, + 505, + 648 + ], + "score": 0.92, + "content": "Y _ { f } ^ { d _ { g } , d _ { h } } \\in", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 107, + 645, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 107, + 646, + 198, + 658 + ], + "score": 0.84, + "content": "\\{ 0 , \\mathrm { { m a x } ( \\mathrm { { S l o t L e n g t h } ) } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 645, + 506, + 659 + ], + "score": 1.0, + "content": ". For example, for the MultiWOZ dataset in our experiments, we have", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 657, + 506, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 197, + 669 + ], + "score": 0.34, + "content": "\\mathrm { { m a x } ( S l o t L e n g t h ) = 9 }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 657, + 506, + 670 + ], + "score": 1.0, + "content": "according to the training data. We follow (Wu et al., 2019; Gao et al., 2019) to", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 367, + 681 + ], + "score": 1.0, + "content": "add a slot gating mechanism as an auxiliary prediction. Each gate", + "type": "text" + }, + { + "bbox": [ + 367, + 670, + 374, + 680 + ], + "score": 0.82, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "is restricted to 3 possible values:", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "score": 1.0, + "content": "“none”, “dontcare” and “generate”. They are used to form higher-level classification signals to sup-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 103, + 688, + 505, + 705 + ], + "spans": [ + { + "bbox": [ + 103, + 689, + 394, + 705 + ], + "score": 1.0, + "content": "port fertility decoding process. 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NLU output as tagged user utterances", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "is input to DST models to update the dialogue states turn by turn (Kurata et al., 2016; Shi et al., 2016;", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "Rastogi et al., 2017). Recent approaches combine NLU and DST to reduce the credit assignment", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 104, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "problem and remove the need for NLU (Mrksiˇ c et al., 2017; Xu & Hu, 2018; Zhong et al., 2018). ´", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "Within this body of research, Goel et al. (2019) differentiates two DST approaches: fixed- and open-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "vocabulary. Fixed-vocabulary approaches are usually retrieval-based methods in which all candidate", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 504, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 504, + 161 + ], + "score": 1.0, + "content": "pairs of (slot, value) from a given slot ontology are considered and the models predict a probability", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "score for each pair (Henderson et al., 2014c; Ramadan et al., 2018; Lee et al., 2019). Recent work", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "has moved towards open-vocabulary approaches that can generate the candidates based on input text", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 193 + ], + "score": 1.0, + "content": "i.e. dialogue history (Lei et al., 2018; Gao et al., 2019; Wu et al., 2019). Our work is more related", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 505, + 205 + ], + "score": 1.0, + "content": "to these models, but different from most of the current work, we explicitly consider dependencies", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 204, + 381, + 215 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 381, + 215 + ], + "score": 1.0, + "content": "among slots and domains to decode dialogue state as a complete set.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 5.5, + "bbox_fs": [ + 104, + 81, + 506, + 215 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 228, + 282, + 239 + ], + "lines": [ + { + "bbox": [ + 106, + 227, + 283, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 283, + 240 + ], + "score": 1.0, + "content": "2.2 NON-AUTOREGRESSIVE DECODING", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 248, + 505, + 446 + ], + "lines": [ + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "Most of prior work in non- or semi-autoregressive decoding methods are used for NMT to address", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 259, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 505, + 272 + ], + "score": 1.0, + "content": "the need for fast translation. Schwenk (2012) proposes to estimate the translation model probabili-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 270, + 506, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 506, + 283 + ], + "score": 1.0, + "content": "ties of a phase-based NMT system. Libovicky & Helcl (2018) formulates the decoding process as `", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "score": 1.0, + "content": "a sequence labeling task by projecting source sequence into a longer sequence and applying CTC", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 292, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 505, + 305 + ], + "score": 1.0, + "content": "loss (Graves et al., 2006) to decode the target sequence. Wang et al. (2019) adds regularization", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "score": 1.0, + "content": "terms to NAT models (Gu et al., 2018) to reduce translation errors such as repeated tokens and in-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 314, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 506, + 327 + ], + "score": 1.0, + "content": "complete sentences. Ghazvininejad et al. (2019) uses a non-autoregressive decoder with masked", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "attention to decode target sequences over multiple generation rounds. A common challenge in non-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "autoregressive NMT is the large number of sequential latent variables, e.g., fertility sequences (Gu", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "et al., 2018) and projected target sequences (Libovicky & Helcl, 2018). These latent variables are `", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 358, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 506, + 371 + ], + "score": 1.0, + "content": "used as supporting signals for non- or semi-autoregressive decoding. We reformulate dialogue state", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "as a structured sequence with sub-sequences defined as a concatenation of slot values. This form of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "dialogue state can be inferred easily from the dialogue state annotation itself whereas such super-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 404 + ], + "score": 1.0, + "content": "vision information is not directly available in NMT. The lower semantic complexity of slot values", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "as compared to long sentences in NMT makes it easier to adopt non-autoregressive approaches", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "into DST. According to our review, we are the first to apply a non-autoregressive framework for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 437 + ], + "score": 1.0, + "content": "generation-based DST. Our approach allows joint state tracking across slots, which results in better", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 435, + 393, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 393, + 448 + ], + "score": 1.0, + "content": "performance and an order of magnitude lower latency during inference.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 248, + 506, + 448 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 462, + 182, + 475 + ], + "lines": [ + { + "bbox": [ + 105, + 460, + 185, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 185, + 478 + ], + "score": 1.0, + "content": "3 APPROACH", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "score": 1.0, + "content": "Our NADST model is composed of three parts: encoders, fertility decoder, and state decoder, as", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 352, + 511 + ], + "score": 1.0, + "content": "shown in Figure 1. The input includes the dialogue history", + "type": "text" + }, + { + "bbox": [ + 353, + 498, + 427, + 510 + ], + "score": 0.91, + "content": "\\boldsymbol { X } = ( x _ { 1 } , . . . , x _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "and a sequence of", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 229, + 522 + ], + "score": 1.0, + "content": "applicable (domain, slot) pairs", + "type": "text" + }, + { + "bbox": [ + 229, + 509, + 351, + 521 + ], + "score": 0.91, + "content": "X _ { \\mathrm { d s } } = ( ( d _ { 1 } , s _ { 1 } ) , . . . , ( d _ { G } , s _ { H } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 509, + 382, + 522 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 382, + 510, + 391, + 519 + ], + "score": 0.83, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 509, + 408, + 522 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 408, + 510, + 419, + 519 + ], + "score": 0.8, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "are the total numbers", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "of domains and slots, respectively. The output is the corresponding dialogue states up to the current", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "dialogue history. Conventionally, the output of dialogue state is denoted as tuple (slot, value) (or", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 542, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 554 + ], + "score": 1.0, + "content": "(domain-slot, value) for multi-domain dialogues). We reformulate the output as a concatenation of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 102, + 551, + 504, + 571 + ], + "spans": [ + { + "bbox": [ + 102, + 551, + 150, + 571 + ], + "score": 1.0, + "content": "slot values", + "type": "text" + }, + { + "bbox": [ + 151, + 553, + 442, + 567 + ], + "score": 0.87, + "content": "Y ^ { d _ { i } , s _ { j } } \\colon Y = ( Y ^ { d _ { 1 } , s _ { 1 } } , . . . , Y ^ { d _ { I } , s _ { J } } ) = ( y _ { 1 } ^ { d _ { 1 } , s _ { 1 } } , y _ { 2 } ^ { d _ { 1 } , s _ { 1 } } , . . . , y _ { 1 } ^ { d _ { I } , s _ { J } } , y _ { 2 } ^ { d _ { I } , s _ { J } } , . . . )", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 551, + 471, + 568 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 471, + 555, + 478, + 565 + ], + "score": 0.78, + "content": "I", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 551, + 496, + 568 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 496, + 555, + 504, + 565 + ], + "score": 0.79, + "content": "J", + "type": "inline_equation" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 564, + 423, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 423, + 579 + ], + "score": 1.0, + "content": "are the numbers of domains and slots in the output dialogue state, respectively.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5, + "bbox_fs": [ + 102, + 487, + 506, + 579 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 702 + ], + "lines": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "First, the encoders use token-level embedding and positional encoding to encode the input dia-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "logue history and (domain, slot) pairs into continuous representations. The encoded domains and", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "slots are then input to stacked self-attention and feed-forward network to obtain relevant signals", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 103, + 613, + 507, + 633 + ], + "spans": [ + { + "bbox": [ + 103, + 613, + 299, + 633 + ], + "score": 1.0, + "content": "across dialogue history and generate a fertility", + "type": "text" + }, + { + "bbox": [ + 300, + 615, + 328, + 632 + ], + "score": 0.93, + "content": "Y _ { f } ^ { d _ { g } , s _ { h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 613, + 447, + 633 + ], + "score": 1.0, + "content": "for each (domain, slot) pair", + "type": "text" + }, + { + "bbox": [ + 447, + 617, + 479, + 631 + ], + "score": 0.93, + "content": "\\left( d _ { g } , s _ { h } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 613, + 507, + 633 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 102, + 628, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 102, + 629, + 389, + 650 + ], + "score": 1.0, + "content": "output of fertility decoder is defined as a sequence: Yfert = Y d1,s1f ,", + "type": "text" + }, + { + "bbox": [ + 324, + 631, + 432, + 648 + ], + "score": 0.93, + "content": "Y _ { \\mathrm { f e r t } } = Y _ { f } ^ { d _ { 1 } , s _ { 1 } } , . . . , Y _ { f } ^ { d _ { G } , s _ { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 628, + 463, + 648 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 463, + 631, + 505, + 648 + ], + "score": 0.92, + "content": "Y _ { f } ^ { d _ { g } , d _ { h } } \\in", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 107, + 645, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 107, + 646, + 198, + 658 + ], + "score": 0.84, + "content": "\\{ 0 , \\mathrm { { m a x } ( \\mathrm { { S l o t L e n g t h } ) } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 645, + 506, + 659 + ], + "score": 1.0, + "content": ". For example, for the MultiWOZ dataset in our experiments, we have", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 657, + 506, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 197, + 669 + ], + "score": 0.34, + "content": "\\mathrm { { m a x } ( S l o t L e n g t h ) = 9 }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 657, + 506, + 670 + ], + "score": 1.0, + "content": "according to the training data. We follow (Wu et al., 2019; Gao et al., 2019) to", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 367, + 681 + ], + "score": 1.0, + "content": "add a slot gating mechanism as an auxiliary prediction. Each gate", + "type": "text" + }, + { + "bbox": [ + 367, + 670, + 374, + 680 + ], + "score": 0.82, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "is restricted to 3 possible values:", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "score": 1.0, + "content": "“none”, “dontcare” and “generate”. They are used to form higher-level classification signals to sup-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 103, + 688, + 505, + 705 + ], + "spans": [ + { + "bbox": [ + 103, + 689, + 394, + 705 + ], + "score": 1.0, + "content": "port fertility decoding process. The gate output is defined as a sequence:", + "type": "text" + }, + { + "bbox": [ + 394, + 690, + 501, + 704 + ], + "score": 0.92, + "content": "Y _ { \\mathrm { g a t e } } = Y _ { g } ^ { d _ { 1 } , s _ { 1 } } , . . . , Y _ { g } ^ { d _ { G } , s _ { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 688, + 505, + 703 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 44.5, + "bbox_fs": [ + 102, + 582, + 507, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 707, + 502, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 706, + 504, + 720 + ], + "spans": [ + { + "bbox": [ + 106, + 706, + 504, + 720 + ], + "score": 1.0, + "content": "The predicted fertilities are used to form an input sequence to the state decoder for non-", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 104, + 716, + 507, + 735 + ], + "spans": [ + { + "bbox": [ + 104, + 716, + 370, + 735 + ], + "score": 1.0, + "content": "autoregressive decoding. The sequence includes sub-sequences of", + "type": "text" + }, + { + "bbox": [ + 370, + 720, + 402, + 733 + ], + "score": 0.93, + "content": "( d _ { g } , s _ { h } )", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 716, + 451, + 735 + ], + "score": 1.0, + "content": "repeated by", + "type": "text" + }, + { + "bbox": [ + 451, + 718, + 479, + 735 + ], + "score": 0.93, + "content": "Y _ { f } ^ { d _ { g } , s _ { h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 716, + 507, + 735 + ], + "score": 1.0, + "content": "times", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 101, + 78, + 506, + 102 + ], + "spans": [ + { + "bbox": [ + 101, + 78, + 346, + 102 + ], + "score": 1.0, + "content": "and concatenated sequentially: Xds×fert = ((d1, s1)Y d1,s1f ,", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 233, + 80, + 428, + 97 + ], + "score": 0.88, + "content": "X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } = ( ( d _ { 1 } , s _ { 1 } ) ^ { Y _ { f } ^ { d _ { 1 } , s _ { 1 } } } , . . . , ( d _ { G } , s _ { H } ) ^ { Y _ { f } ^ { d _ { G } , s _ { H } } } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 428, + 82, + 447, + 99 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 448, + 83, + 506, + 97 + ], + "score": 0.87, + "content": "\\| X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } \\| =", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 107, + 95, + 126, + 108 + ], + "score": 0.91, + "content": "\\| Y \\|", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 126, + 95, + 505, + 108 + ], + "score": 1.0, + "content": ". The decoder projects this sequence through attention layers with dialogue history. During this", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "score": 1.0, + "content": "decoding process, we maintain a memory of hidden states of dialogue history. The output from the", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "score": 1.0, + "content": "state decoder is used as a query to attend on this memory and copy tokens from the dialogue history", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 129, + 220, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 220, + 141 + ], + "score": 1.0, + "content": "to generate a dialogue state.", + "type": "text", + "cross_page": true + } + ], + "index": 4 + } + ], + "index": 50.5, + "bbox_fs": [ + 104, + 706, + 507, + 735 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 80, + 505, + 140 + ], + "lines": [ + { + "bbox": [ + 101, + 78, + 506, + 102 + ], + "spans": [ + { + "bbox": [ + 101, + 78, + 346, + 102 + ], + "score": 1.0, + "content": "and concatenated sequentially: Xds×fert = ((d1, s1)Y d1,s1f ,", + "type": "text" + }, + { + "bbox": [ + 233, + 80, + 428, + 97 + ], + "score": 0.88, + "content": "X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } = ( ( d _ { 1 } , s _ { 1 } ) ^ { Y _ { f } ^ { d _ { 1 } , s _ { 1 } } } , . . . , ( d _ { G } , s _ { H } ) ^ { Y _ { f } ^ { d _ { G } , s _ { H } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 82, + 447, + 99 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 448, + 83, + 506, + 97 + ], + "score": 0.87, + "content": "\\| X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } \\| =", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 107, + 95, + 126, + 108 + ], + "score": 0.91, + "content": "\\| Y \\|", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 95, + 505, + 108 + ], + "score": 1.0, + "content": ". The decoder projects this sequence through attention layers with dialogue history. During this", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "score": 1.0, + "content": "decoding process, we maintain a memory of hidden states of dialogue history. The output from the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 131 + ], + "score": 1.0, + "content": "state decoder is used as a query to attend on this memory and copy tokens from the dialogue history", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 129, + 220, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 220, + 141 + ], + "score": 1.0, + "content": "to generate a dialogue state.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 145, + 505, + 201 + ], + "lines": [ + { + "bbox": [ + 106, + 146, + 505, + 158 + ], + "spans": [ + { + "bbox": [ + 106, + 146, + 505, + 158 + ], + "score": 1.0, + "content": "Following Lei et al. (2018), we incorporate information from previous dialogue turns to predict", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 154, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 104, + 154, + 375, + 171 + ], + "score": 1.0, + "content": "current turn state by using a partially delexicalized dialogue history", + "type": "text" + }, + { + "bbox": [ + 375, + 156, + 481, + 168 + ], + "score": 0.92, + "content": "X _ { \\mathrm { d e l } } = ( x _ { 1 , \\mathrm { d e l } } , . . . , x _ { N , \\mathrm { d e l } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 154, + 506, + 171 + ], + "score": 1.0, + "content": "as an", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 166, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 505, + 181 + ], + "score": 1.0, + "content": "input of the model. The dialogue history is delexicalized till the last system utterance by removing", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 178, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 505, + 191 + ], + "score": 1.0, + "content": "real-value tokens that match the previously decoded slot values to tokens expressed as domain-slot.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 189, + 453, + 202 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 164, + 202 + ], + "score": 1.0, + "content": "Given a token", + "type": "text" + }, + { + "bbox": [ + 164, + 190, + 177, + 200 + ], + "score": 0.86, + "content": "x _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 189, + 295, + 202 + ], + "score": 1.0, + "content": "and the current dialogue turn", + "type": "text" + }, + { + "bbox": [ + 296, + 190, + 300, + 199 + ], + "score": 0.68, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 189, + 453, + 202 + ], + "score": 1.0, + "content": ", the token is delexicalized as follows:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 211, + 481, + 259 + ], + "lines": [ + { + "bbox": [ + 135, + 211, + 481, + 259 + ], + "spans": [ + { + "bbox": [ + 135, + 211, + 481, + 259 + ], + "score": 0.87, + "content": "\\begin{array} { r l } & { x _ { n , \\mathrm { d e l } } = \\mathrm { d e l e x } ( x _ { n } ) = \\left\\{ \\begin{array} { l l } { \\mathrm { d o m a i n } _ { \\mathrm { i d x } } \\mathrm { - s l o t } _ { \\mathrm { i d x } } , } & { \\mathrm { i f ~ } x _ { n } \\subset \\hat { Y } _ { t - 1 } . } \\\\ { x _ { n } , } & { \\mathrm { o t h e r w i s e } . } \\end{array} \\right. } \\\\ & { \\mathrm { l o m a i n } _ { \\mathrm { i d x } } = X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } [ \\mathrm { i d x } ] [ 0 ] , \\quad \\mathrm { s l o t } _ { \\mathrm { i d x } } = X _ { \\mathrm { d s } \\times \\mathrm { f e r t } } [ \\mathrm { i d x } ] [ 1 ] , \\quad \\mathrm { i d x } = \\mathrm { I n d e x } ( x _ { n } , \\hat { Y } _ { t - 1 } ) } \\end{array}", + "type": "interline_equation", + "image_path": "f4c0e761ca1a29e869311e93c80b40a5933784b13757ef4b81bf7ae2a23a816a.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 129, + 211, + 481, + 227.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 129, + 227.0, + 481, + 243.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 129, + 243.0, + 481, + 259.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 268, + 505, + 335 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 432, + 281 + ], + "score": 1.0, + "content": "For example, the user utterance “I look for a cheap hotel” is delexicalized to", + "type": "text" + }, + { + "bbox": [ + 432, + 269, + 442, + 279 + ], + "score": 0.52, + "content": "^ { 6 6 } \\mathrm { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "look for a ho-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "tel pricerange hotel.” if the slot hotel pricerange is predicted as “cheap” in the previous turn. This", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 104, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "approach makes use of the delexicalized form of dialogue history while not relying on an NLU", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 302, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 313 + ], + "score": 1.0, + "content": "module as we utilize the predicted state from DST model itself. 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We adopt the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "Adam optimizer (Kingma & Ba, 2015) and the learning rate strategy similarly as (Vaswani et al.,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "score": 1.0, + "content": "2017). Best models are selected based on the best average joint accuracy of dialogue state prediction", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 359, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 505, + 372 + ], + "score": 1.0, + "content": "in the validation set. All parameters are randomly initialized with uniform distribution (Glorot &", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 371, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 383 + ], + "score": 1.0, + "content": "Bengio, 2010). We did not utilize any pretrained word- or character-based embedding weights.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 380, + 506, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 395 + ], + "score": 1.0, + "content": "We tuned the hyper-parameters with grid-search over the validation set (Refer to Appendix A.2 for", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 406 + ], + "score": 1.0, + "content": "further details). 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However,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 482, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 505, + 494 + ], + "score": 1.0, + "content": "during inference, the approach suffers from unseen slot values for slots with evolving candidates", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 493, + 336, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 336, + 505 + ], + "score": 1.0, + "content": "such as entity names and time- and location-related slots.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29 + }, + { + "type": "title", + "bbox": [ + 107, + 516, + 230, + 527 + ], + "lines": [ + { + "bbox": [ + 106, + 515, + 231, + 529 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 231, + 529 + ], + "score": 1.0, + "content": "4.3.1 FIXED-VOCABULARY", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 535, + 505, + 568 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 548 + ], + "score": 1.0, + "content": "GLAD (Zhong et al., 2018). 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GCE is a simplified and faster version of GLAD. The model", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 586, + 421, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 421, + 598 + ], + "score": 1.0, + "content": "removes slot-specific RNNs while maintaining competitive DST performance.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 602, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "score": 1.0, + "content": "MDBT (Ramadan et al., 2018). MDBT model includes separate encoding modules for system", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 613, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 505, + 626 + ], + "score": 1.0, + "content": "utterances, user utterances, and (slot, value) pairs. Similar to GLAD, The model is trained based on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 624, + 360, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 360, + 637 + ], + "score": 1.0, + "content": "the semantic similarity between utterances and ontology terms.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 641, + 505, + 685 + ], + "lines": [ + { + "bbox": [ + 104, + 640, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 104, + 640, + 506, + 654 + ], + "score": 1.0, + "content": "FJST and HJST (Eric et al., 2019). FJST refers to Flat Joint State Tracker, which consists of a dialog", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 652, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 652, + 505, + 663 + ], + "score": 1.0, + "content": "history encoder as a bidirectional LSTM network. 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In this paper, we use the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 149, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 160 + ], + "score": 1.0, + "content": "new version of the MultiWOZ dataset published by Eric et al. (2019). The new version includes", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 160, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 349, + 172 + ], + "score": 1.0, + "content": "some correction on dialogue state annotation with more than", + "type": "text" + }, + { + "bbox": [ + 349, + 160, + 369, + 170 + ], + "score": 0.85, + "content": "40 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 160, + 505, + 172 + ], + "score": 1.0, + "content": "change across dialogue turns. On", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 169, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 104, + 169, + 505, + 184 + ], + "score": 1.0, + "content": "average, each dialogue has more than one domain. We pre-processed the dialogues by tokenizing,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 182, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 505, + 194 + ], + "score": 1.0, + "content": "lower-casing, and delexicalizing all system responses following the pre-processing scripts from (Wu", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 191, + 506, + 206 + ], + "spans": [ + { + "bbox": [ + 104, + 191, + 506, + 206 + ], + "score": 1.0, + "content": "et al., 2019). We identify a total of 35 (domain, slot) pairs. Other details of data pre-processing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 474, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 474, + 216 + ], + "score": 1.0, + "content": "procedures, corpus statistics, and list of (domain, slot) pairs are described in Appendix A.1.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5, + "bbox_fs": [ + 104, + 126, + 506, + 216 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 227, + 231, + 239 + ], + "lines": [ + { + "bbox": [ + 106, + 227, + 232, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 232, + 240 + ], + "score": 1.0, + "content": "4.2 TRAINING PROCEDURE", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 248, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 105, + 247, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 462, + 262 + ], + "score": 1.0, + "content": "We use label smoothing (Szegedy et al., 2016) to train the prediction of dialogue state", + "type": "text" + }, + { + "bbox": [ + 462, + 249, + 472, + 258 + ], + "score": 0.68, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 247, + 506, + 262 + ], + "score": 1.0, + "content": "but not", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 259, + 506, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 215, + 274 + ], + "score": 1.0, + "content": "for prediction of fertilities", + "type": "text" + }, + { + "bbox": [ + 216, + 260, + 235, + 271 + ], + "score": 0.89, + "content": "Y _ { \\mathrm { f e r t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 259, + 278, + 274 + ], + "score": 1.0, + "content": "and gates", + "type": "text" + }, + { + "bbox": [ + 279, + 260, + 300, + 271 + ], + "score": 0.9, + "content": "Y _ { \\mathrm { g a t e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 259, + 416, + 274 + ], + "score": 1.0, + "content": ". During training, we adopt", + "type": "text" + }, + { + "bbox": [ + 416, + 260, + 440, + 270 + ], + "score": 0.85, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 259, + 506, + 274 + ], + "score": 1.0, + "content": "teacher-forcing", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 269, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 104, + 269, + 291, + 284 + ], + "score": 1.0, + "content": "learning strategy by using the ground-truth of", + "type": "text" + }, + { + "bbox": [ + 291, + 271, + 327, + 282 + ], + "score": 0.92, + "content": "X _ { \\mathrm { d s \\times f e r t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 269, + 505, + 284 + ], + "score": 1.0, + "content": "as input to the state decoder. We also apply", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 280, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 104, + 280, + 506, + 295 + ], + "score": 1.0, + "content": "the same strategy to obtain delexicalized dialogue history i.e. dialogue history is delexicalized from", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 292, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 506, + 306 + ], + "score": 1.0, + "content": "the ground-truth belief state in previous dialogue turn rather than relying on the predicted belief", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 304, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 505, + 317 + ], + "score": 1.0, + "content": "state. During inference, we follow a similar strategy as (Lei et al., 2018) by generating dialogue", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 313, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 104, + 313, + 342, + 328 + ], + "score": 1.0, + "content": "state turn-by-turn and use the predicted belief state in turn", + "type": "text" + }, + { + "bbox": [ + 343, + 315, + 365, + 325 + ], + "score": 0.83, + "content": "t - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 313, + 505, + 328 + ], + "score": 1.0, + "content": "to delexicalize dialogue history in", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 325, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 104, + 326, + 125, + 341 + ], + "score": 1.0, + "content": "turn", + "type": "text" + }, + { + "bbox": [ + 125, + 328, + 131, + 337 + ], + "score": 0.34, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 326, + 210, + 341 + ], + "score": 1.0, + "content": ". 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We adopt the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "Adam optimizer (Kingma & Ba, 2015) and the learning rate strategy similarly as (Vaswani et al.,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 506, + 362 + ], + "score": 1.0, + "content": "2017). Best models are selected based on the best average joint accuracy of dialogue state prediction", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 359, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 505, + 372 + ], + "score": 1.0, + "content": "in the validation set. All parameters are randomly initialized with uniform distribution (Glorot &", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 371, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 383 + ], + "score": 1.0, + "content": "Bengio, 2010). We did not utilize any pretrained word- or character-based embedding weights.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 380, + 506, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 395 + ], + "score": 1.0, + "content": "We tuned the hyper-parameters with grid-search over the validation set (Refer to Appendix A.2 for", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 406 + ], + "score": 1.0, + "content": "further details). We implemented our models using PyTorch (Paszke et al., 2017) and released the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 403, + 182, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 182, + 415 + ], + "score": 1.0, + "content": "code on GitHub 1.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 18, + "bbox_fs": [ + 104, + 247, + 506, + 415 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 428, + 180, + 439 + ], + "lines": [ + { + "bbox": [ + 105, + 427, + 182, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 182, + 441 + ], + "score": 1.0, + "content": "4.3 BASELINES", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 449, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "The DST baselines can be divided into 2 groups: open-vocabulary approach and fixed-vocabulary", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "approach as mentioned in Section 2. Fixed-vocabulary has the advantage of access to the known can-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "score": 1.0, + "content": "didate set of each slot and has a high performance of prediction within this candidate set. 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GLAD uses multiple self-attentive RNNs to learn a global tracker for", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 546, + 504, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 504, + 559 + ], + "score": 1.0, + "content": "shared parameters among slots and a local tracker for individual slot. The model utilizes previous", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 558, + 491, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 491, + 570 + ], + "score": 1.0, + "content": "system actions as input. The output is used to compute semantic similarity with ontology terms.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 534, + 505, + 570 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 503, + 596 + ], + "lines": [ + { + "bbox": [ + 106, + 574, + 504, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 504, + 586 + ], + "score": 1.0, + "content": "GCE (Nouri & Hosseini-Asl, 2018). GCE is a simplified and faster version of GLAD. The model", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 586, + 421, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 421, + 598 + ], + "score": 1.0, + "content": "removes slot-specific RNNs while maintaining competitive DST performance.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 106, + 574, + 504, + 598 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 602, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "score": 1.0, + "content": "MDBT (Ramadan et al., 2018). MDBT model includes separate encoding modules for system", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 613, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 505, + 626 + ], + "score": 1.0, + "content": "utterances, user utterances, and (slot, value) pairs. Similar to GLAD, The model is trained based on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 624, + 360, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 360, + 637 + ], + "score": 1.0, + "content": "the semantic similarity between utterances and ontology terms.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 601, + 505, + 637 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 641, + 505, + 685 + ], + "lines": [ + { + "bbox": [ + 104, + 640, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 104, + 640, + 506, + 654 + ], + "score": 1.0, + "content": "FJST and HJST (Eric et al., 2019). FJST refers to Flat Joint State Tracker, which consists of a dialog", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 652, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 652, + 505, + 663 + ], + "score": 1.0, + "content": "history encoder as a bidirectional LSTM network. The model also includes separate feedforward", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 663, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 505, + 675 + ], + "score": 1.0, + "content": "networks to encode hidden states of individual state slots. HJST follows a similar architecture but", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 673, + 455, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 455, + 687 + ], + "score": 1.0, + "content": "uses a hierarchical LSTM network (Serban et al., 2016) to encode the dialogue history.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5, + "bbox_fs": [ + 104, + 640, + 506, + 687 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 690, + 505, + 713 + ], + "lines": [ + { + "bbox": [ + 106, + 690, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 505, + 703 + ], + "score": 1.0, + "content": "SUMBT (Lee et al., 2019). SUMBT refers to Slot-independent Belief Tracker, consisting of a", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 702, + 505, + 715 + ], + "spans": [ + { + "bbox": [ + 106, + 702, + 505, + 715 + ], + "score": 1.0, + "content": "multi-head attention layer with query vector as a representation of a (domain, slot) pair and key and", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "value vector as BERT-encoded dialogue history. The model follows a non-parametric approach as", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "it is trained to minimize a score such as Euclidean distance between predicted and target slots. Our", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 505, + 118 + ], + "score": 1.0, + "content": "approach is different from SUMBT as we include attention among (domain, slot) pairs to explicitly", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 507, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 507, + 129 + ], + "score": 1.0, + "content": "learn dependencies among the pairs. Our models also generate slot values rather than relying on a", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 185, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 185, + 139 + ], + "score": 1.0, + "content": "fixed candidate set.", + "type": "text", + "cross_page": true + } + ], + "index": 4 + } + ], + "index": 45.5, + "bbox_fs": [ + 106, + 690, + 505, + 715 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 137 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "value vector as BERT-encoded dialogue history. The model follows a non-parametric approach as", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "it is trained to minimize a score such as Euclidean distance between predicted and target slots. Our", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 505, + 118 + ], + "score": 1.0, + "content": "approach is different from SUMBT as we include attention among (domain, slot) pairs to explicitly", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 507, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 507, + 129 + ], + "score": 1.0, + "content": "learn dependencies among the pairs. Our models also generate slot values rather than relying on a", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 185, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 185, + 139 + ], + "score": 1.0, + "content": "fixed candidate set.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 108, + 151, + 227, + 162 + ], + "lines": [ + { + "bbox": [ + 105, + 150, + 229, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 229, + 164 + ], + "score": 1.0, + "content": "4.3.2 OPEN-VOCABULARY", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 171, + 505, + 259 + ], + "lines": [ + { + "bbox": [ + 106, + 172, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 505, + 183 + ], + "score": 1.0, + "content": "TSCP (Lei et al., 2018). TSCP is an end-to-end dialogue model consisting of an RNN encoder and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 183, + 504, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 504, + 194 + ], + "score": 1.0, + "content": "two RNN decoder with a pointer network. We choose this as a baseline because TSCP decodes", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "score": 1.0, + "content": "dialogue state as a single sequence and hence, factor in potential dependencies among slots like our", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 205, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 505, + 217 + ], + "score": 1.0, + "content": "work. We adapt TSCP into multi-domain dialogues and report the performance of only the DST", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 215, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 506, + 228 + ], + "score": 1.0, + "content": "component rather than the end-to-end model. We also reported the performance of TSCP for two", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 349, + 238 + ], + "score": 1.0, + "content": "cases when the maximum length of dialogue state sequence", + "type": "text" + }, + { + "bbox": [ + 349, + 227, + 357, + 236 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 226, + 505, + 238 + ], + "score": 1.0, + "content": "in the state decoder is set to 8 or 20", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 237, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 505, + 250 + ], + "score": 1.0, + "content": "tokens. Different from TSCP, our models dynamically learn the length of each state sequence as the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 249, + 393, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 381, + 260 + ], + "score": 1.0, + "content": "sum of predicted fertilities and hence, do not rely on a fixed value of", + "type": "text" + }, + { + "bbox": [ + 381, + 249, + 389, + 258 + ], + "score": 0.79, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 249, + 393, + 260 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 265, + 505, + 309 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 278 + ], + "score": 1.0, + "content": "DST Reader (Gao et al., 2019). DST Reader reformulates the DST task as a reading comprehension", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "task. The prediction of each slot is a span over tokens within the dialogue history. The model follows", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "score": 1.0, + "content": "an attention-based neural network architecture and combines a slot carryover prediction module and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 298, + 221, + 311 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 221, + 311 + ], + "score": 1.0, + "content": "slot type prediction module.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 107, + 315, + 504, + 370 + ], + "lines": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "score": 1.0, + "content": "HyST (Goel et al., 2019). HyST model combines both fixed-vocabulary and open-vocabulary", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "score": 1.0, + "content": "approach by separately choosing which approach is more suitable for each slot. For the open-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "score": 1.0, + "content": "vocabulary approach, the slot candidates are formed as sets of all word n-grams in the dialogue", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "score": 1.0, + "content": "history. The model makes use of encoder modules to encode user utterances and dialogue acts to", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 359, + 231, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 231, + 372 + ], + "score": 1.0, + "content": "represent the dialogue context.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 376, + 505, + 431 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "score": 1.0, + "content": "TRADE (Wu et al., 2019). This is the current state-of-the-art model on the MultiWOZ2.0 and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "2.1 datasets. TRADE is composed of a dialog history encoder, a slot gating module, and an RNN", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "decoder with a pointer network for state generation. SpanPtr is a related baseline to TRADE as", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 407, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 506, + 423 + ], + "score": 1.0, + "content": "reported by Wu et al. (2019). The model makes use of a pointer network with index-based copying", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 419, + 289, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 289, + 432 + ], + "score": 1.0, + "content": "instead of a token-based copying mechanism.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 107, + 446, + 170, + 457 + ], + "lines": [ + { + "bbox": [ + 106, + 446, + 171, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 171, + 459 + ], + "score": 1.0, + "content": "4.4 RESULTS", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 467, + 504, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "We evaluate model performance by the joint goal accuracy as commonly used in DST (Henderson", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "et al., 2014b). The metric compares the predicted dialogue states to the ground truth in each di-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 490, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 502 + ], + "score": 1.0, + "content": "alogue turn. A prediction is only correct if all the predicted values of all slots exactly match the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "corresponding ground truth labels. We ran our models for 5 times and reported the average results.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 511, + 393, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 393, + 524 + ], + "score": 1.0, + "content": "For completion, we reported the results in both MultiWOZ 2.0 and 2.1.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "score": 1.0, + "content": "As can be seen in Table 2, although our models are designed for non-autoregressive decoding, they", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "score": 1.0, + "content": "can outperform state-of-the-art DST approaches that utilize autoregressive decoding such as (Wu", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 549, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 104, + 549, + 506, + 564 + ], + "score": 1.0, + "content": "et al., 2019). Our performance gain can be attributed to the model capability of learning cross-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "domain and cross-slot signals, directly optimizing towards the evaluation metric of joint goal accu-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "racy rather than just the accuracy of individual slots. Following prior DST work, we reported the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "model performance on the restaurant domain in MultiWOZ 2.0 in Table 4. In this dialogue domain,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 595, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 606 + ], + "score": 1.0, + "content": "our model surpasses other DST models in both Joint Accuracy and Slot Accuracy. Refer to Ap-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "score": 1.0, + "content": "pendix A.3 for our model performance in other domains in both MultiWOZ2.0 and MultiWOZ2.1.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 106, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "Latency Analysis. We reported the latency results in term of wall-clock time (in ms) per prediction", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "state of our models and the two baselines TRADE (Wu et al., 2019) and TSCP (Lei et al., 2018) in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "score": 1.0, + "content": "Table 4. For TSCP, we reported the time cost only for the DST component instead of the end-to-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "end models. We conducted experiments with 2 cases of TSCP when the maximum output length of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 318, + 678 + ], + "score": 1.0, + "content": "dialogue state sequence in the state decoder is set as", + "type": "text" + }, + { + "bbox": [ + 318, + 666, + 345, + 676 + ], + "score": 0.9, + "content": "L = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 665, + 363, + 678 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 364, + 666, + 396, + 676 + ], + "score": 0.89, + "content": "L = 2 0", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 665, + 505, + 678 + ], + "score": 1.0, + "content": ". We varied our models for", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 180, + 690 + ], + "score": 1.0, + "content": "different values of", + "type": "text" + }, + { + "bbox": [ + 181, + 677, + 303, + 689 + ], + "score": 0.91, + "content": "T = T _ { \\mathrm { f e r t } } = T _ { \\mathrm { s t a t e } } \\in \\{ 1 , 2 , 3 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 676, + 506, + 690 + ], + "score": 1.0, + "content": ". All latency results are reported when running in a", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 474, + 700 + ], + "score": 1.0, + "content": "single identical GPU. As can be seen in Table 4, NADST obtains the best performance when", + "type": "text" + }, + { + "bbox": [ + 474, + 688, + 501, + 698 + ], + "score": 0.89, + "content": "T = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 687, + 506, + 700 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "The model outperforms the baselines while taking much less time during inference. Our approach", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "is similar to TSCP which also decodes a complete dialogue state sequence rather than individual", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 720, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 732 + ], + "score": 1.0, + "content": "slots to factor in dependencies among slot values. However, as TSCP models involve sequential", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 46.5 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 137 + ], + "lines": [], + "index": 2, + "bbox_fs": [ + 105, + 82, + 507, + 139 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 108, + 151, + 227, + 162 + ], + "lines": [ + { + "bbox": [ + 105, + 150, + 229, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 229, + 164 + ], + "score": 1.0, + "content": "4.3.2 OPEN-VOCABULARY", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 171, + 505, + 259 + ], + "lines": [ + { + "bbox": [ + 106, + 172, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 505, + 183 + ], + "score": 1.0, + "content": "TSCP (Lei et al., 2018). TSCP is an end-to-end dialogue model consisting of an RNN encoder and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 183, + 504, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 504, + 194 + ], + "score": 1.0, + "content": "two RNN decoder with a pointer network. We choose this as a baseline because TSCP decodes", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "score": 1.0, + "content": "dialogue state as a single sequence and hence, factor in potential dependencies among slots like our", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 205, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 505, + 217 + ], + "score": 1.0, + "content": "work. We adapt TSCP into multi-domain dialogues and report the performance of only the DST", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 215, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 506, + 228 + ], + "score": 1.0, + "content": "component rather than the end-to-end model. We also reported the performance of TSCP for two", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 349, + 238 + ], + "score": 1.0, + "content": "cases when the maximum length of dialogue state sequence", + "type": "text" + }, + { + "bbox": [ + 349, + 227, + 357, + 236 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 226, + 505, + 238 + ], + "score": 1.0, + "content": "in the state decoder is set to 8 or 20", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 237, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 505, + 250 + ], + "score": 1.0, + "content": "tokens. Different from TSCP, our models dynamically learn the length of each state sequence as the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 249, + 393, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 381, + 260 + ], + "score": 1.0, + "content": "sum of predicted fertilities and hence, do not rely on a fixed value of", + "type": "text" + }, + { + "bbox": [ + 381, + 249, + 389, + 258 + ], + "score": 0.79, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 249, + 393, + 260 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 172, + 506, + 260 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 265, + 505, + 309 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 278 + ], + "score": 1.0, + "content": "DST Reader (Gao et al., 2019). DST Reader reformulates the DST task as a reading comprehension", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "task. The prediction of each slot is a span over tokens within the dialogue history. The model follows", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "score": 1.0, + "content": "an attention-based neural network architecture and combines a slot carryover prediction module and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 298, + 221, + 311 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 221, + 311 + ], + "score": 1.0, + "content": "slot type prediction module.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 264, + 506, + 311 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 315, + 504, + 370 + ], + "lines": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "score": 1.0, + "content": "HyST (Goel et al., 2019). HyST model combines both fixed-vocabulary and open-vocabulary", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 339 + ], + "score": 1.0, + "content": "approach by separately choosing which approach is more suitable for each slot. For the open-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 350 + ], + "score": 1.0, + "content": "vocabulary approach, the slot candidates are formed as sets of all word n-grams in the dialogue", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "score": 1.0, + "content": "history. The model makes use of encoder modules to encode user utterances and dialogue acts to", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 359, + 231, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 231, + 372 + ], + "score": 1.0, + "content": "represent the dialogue context.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 315, + 506, + 372 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 376, + 505, + 431 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "score": 1.0, + "content": "TRADE (Wu et al., 2019). This is the current state-of-the-art model on the MultiWOZ2.0 and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "2.1 datasets. TRADE is composed of a dialog history encoder, a slot gating module, and an RNN", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "decoder with a pointer network for state generation. SpanPtr is a related baseline to TRADE as", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 407, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 506, + 423 + ], + "score": 1.0, + "content": "reported by Wu et al. (2019). The model makes use of a pointer network with index-based copying", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 419, + 289, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 289, + 432 + ], + "score": 1.0, + "content": "instead of a token-based copying mechanism.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 376, + 506, + 432 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 446, + 170, + 457 + ], + "lines": [ + { + "bbox": [ + 106, + 446, + 171, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 171, + 459 + ], + "score": 1.0, + "content": "4.4 RESULTS", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 467, + 504, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "We evaluate model performance by the joint goal accuracy as commonly used in DST (Henderson", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "et al., 2014b). The metric compares the predicted dialogue states to the ground truth in each di-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 490, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 502 + ], + "score": 1.0, + "content": "alogue turn. A prediction is only correct if all the predicted values of all slots exactly match the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "corresponding ground truth labels. We ran our models for 5 times and reported the average results.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 511, + 393, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 393, + 524 + ], + "score": 1.0, + "content": "For completion, we reported the results in both MultiWOZ 2.0 and 2.1.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 467, + 506, + 524 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "score": 1.0, + "content": "As can be seen in Table 2, although our models are designed for non-autoregressive decoding, they", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "score": 1.0, + "content": "can outperform state-of-the-art DST approaches that utilize autoregressive decoding such as (Wu", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 549, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 104, + 549, + 506, + 564 + ], + "score": 1.0, + "content": "et al., 2019). Our performance gain can be attributed to the model capability of learning cross-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "domain and cross-slot signals, directly optimizing towards the evaluation metric of joint goal accu-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "racy rather than just the accuracy of individual slots. Following prior DST work, we reported the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "model performance on the restaurant domain in MultiWOZ 2.0 in Table 4. In this dialogue domain,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 595, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 606 + ], + "score": 1.0, + "content": "our model surpasses other DST models in both Joint Accuracy and Slot Accuracy. Refer to Ap-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 504, + 617 + ], + "score": 1.0, + "content": "pendix A.3 for our model performance in other domains in both MultiWOZ2.0 and MultiWOZ2.1.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37.5, + "bbox_fs": [ + 104, + 527, + 506, + 617 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "Latency Analysis. We reported the latency results in term of wall-clock time (in ms) per prediction", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "state of our models and the two baselines TRADE (Wu et al., 2019) and TSCP (Lei et al., 2018) in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "score": 1.0, + "content": "Table 4. For TSCP, we reported the time cost only for the DST component instead of the end-to-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "end models. We conducted experiments with 2 cases of TSCP when the maximum output length of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 318, + 678 + ], + "score": 1.0, + "content": "dialogue state sequence in the state decoder is set as", + "type": "text" + }, + { + "bbox": [ + 318, + 666, + 345, + 676 + ], + "score": 0.9, + "content": "L = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 665, + 363, + 678 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 364, + 666, + 396, + 676 + ], + "score": 0.89, + "content": "L = 2 0", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 665, + 505, + 678 + ], + "score": 1.0, + "content": ". We varied our models for", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 180, + 690 + ], + "score": 1.0, + "content": "different values of", + "type": "text" + }, + { + "bbox": [ + 181, + 677, + 303, + 689 + ], + "score": 0.91, + "content": "T = T _ { \\mathrm { f e r t } } = T _ { \\mathrm { s t a t e } } \\in \\{ 1 , 2 , 3 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 676, + 506, + 690 + ], + "score": 1.0, + "content": ". All latency results are reported when running in a", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 474, + 700 + ], + "score": 1.0, + "content": "single identical GPU. As can be seen in Table 4, NADST obtains the best performance when", + "type": "text" + }, + { + "bbox": [ + 474, + 688, + 501, + 698 + ], + "score": 0.89, + "content": "T = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 687, + 506, + 700 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "The model outperforms the baselines while taking much less time during inference. Our approach", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 104, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "is similar to TSCP which also decodes a complete dialogue state sequence rather than individual", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 720, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 732 + ], + "score": 1.0, + "content": "slots to factor in dependencies among slot values. However, as TSCP models involve sequential", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "processing in both encoding and decoding, they require much higher latency. TRADE shortens the", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "latency by separating the decoding process among (domain, slot) pairs. However, at the token level,", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 321, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 506, + 335 + ], + "score": 1.0, + "content": "TRADE models follow an auto-regressive process to decode individual slots and hence, result in", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "score": 1.0, + "content": "higher average latency as compared to our approach. 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For approaches", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "with sequential encoding and/or decoding such as TSCP and TRADE, the latency is affected by the", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "score": 1.0, + "content": "length of source sequences (dialog history) and target sequence (dialog state). Refer to Appendix", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 376, + 402, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 402, + 390 + ], + "score": 1.0, + "content": "A.3 for visualization of model latency in terms of dialogue history length.", + "type": "text", + "cross_page": true + } + ], + "index": 12 + } + ], + "index": 46.5, + "bbox_fs": [ + 104, + 621, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 128, + 79, + 481, + 252 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 128, + 79, + 481, + 252 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 128, + 79, + 481, + 252 + ], + "spans": [ + { + "bbox": [ + 128, + 79, + 481, + 252 + ], + "score": 0.983, + "html": "
ModelMultiWOZ2.1MultiWOZ2.0
MDBT (Ramadan et al., 2018) †15.57%
SpanPtr (Vinyals et al., 2015)30.28%
GLAD (Zhong et al., 2018) +35.57%
GCE (Nouri & Hosseini-Asl, 2018) +36.27%
HJST (Eric et al., 2019) *35.55%38.40%
DST Reader (single) (Gao et al., 2019) *36.40%39.41%
DST Reader (ensemble) (Gao et al.,2019)142.12%
TSCP (Lei et al., 2018)37.12%39.24%
FJST (Eric et al., 2019) *38.00%40.20%
HyST (ensemble) (Goel et al., 2019) *38.10%44.24%
SUMBT (Lee et al., 2019) +=46.65%
TRADE (Wu et al., 2019) *45.60%48.60%
Ours49.04%50.52%
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ModelJoint AccSlot Acc
MDBT17.98%54.99%
SPanPtr49.12%87.89%
GLAD53.23%96.54%
GCE60.93%95.85%
TSCP62.01%97.32%
TRADE65.35%93.28%
Ours69.21%98.84%
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ModelJoint Acc Latency Speed Up
TRADE 45.60%362.15×2.12
TSCP (L=8) 32.15%493.44×1.56
TSCP (L=20) 37.12%767.57×1.00
Ours (T=1) 42.98%15.18×50.56
Ours (T=2) 45.78%21.67×35.42
Ours (T=3) 49.04%27.31×28.11
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We conduct an extensive ablation analysis with several variants of our mod-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 566, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 580 + ], + "score": 1.0, + "content": "els in Table 5. Besides the results of DST metrics, Joint Slot Accuracy and Slot Accuracy, we", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 104, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "reported the performance of the fertility decoder in Joint Gate Accuracy and Joint Fertility Accu-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 589, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 505, + 601 + ], + "score": 1.0, + "content": "racy. 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We noted that the model fails when", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 200, + 646 + ], + "score": 1.0, + "content": "positional encoding of", + "type": "text" + }, + { + "bbox": [ + 200, + 633, + 236, + 644 + ], + "score": 0.93, + "content": "X _ { \\mathrm { d s \\times f e r t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "is removed before being passed to the state decoder. The perfor-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 258, + 657 + ], + "score": 1.0, + "content": "mance drop can be explained because", + "type": "text" + }, + { + "bbox": [ + 258, + 644, + 275, + 654 + ], + "score": 0.83, + "content": "P E", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 643, + 505, + 657 + ], + "score": 1.0, + "content": "is responsible for injecting sequential attributes to enable", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "non-autoregressive decoding. Second, we also note a slight drop of performance when slot gating is", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "removed as the models have to learn to predict a fertility of 1 for “none” and “dontcare” slots as well.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 174, + 690 + ], + "score": 1.0, + "content": "Third, removing", + "type": "text" + }, + { + "bbox": [ + 174, + 677, + 195, + 688 + ], + "score": 0.9, + "content": "X _ { \\mathrm { d e l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "as an input reduces the model performance, mostly due to the sharp decrease", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 104, + 686, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 446, + 701 + ], + "score": 1.0, + "content": "in Joint Fertility Accuracy. Lastly, removing pointer generation and relying on only", + "type": "text" + }, + { + "bbox": [ + 447, + 688, + 474, + 700 + ], + "score": 0.87, + "content": "P _ { \\mathrm { v o c a b } } ^ { \\mathrm { s t a t e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 686, + 505, + 701 + ], + "score": 1.0, + "content": "affects", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "score": 1.0, + "content": "the model performance as the models are not able to infer slot values unseen during training, espe-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "cially for slots such as restaurant-name and train-arriveby. 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ModelMultiWOZ2.1MultiWOZ2.0
MDBT (Ramadan et al., 2018) †15.57%
SpanPtr (Vinyals et al., 2015)30.28%
GLAD (Zhong et al., 2018) +35.57%
GCE (Nouri & Hosseini-Asl, 2018) +36.27%
HJST (Eric et al., 2019) *35.55%38.40%
DST Reader (single) (Gao et al., 2019) *36.40%39.41%
DST Reader (ensemble) (Gao et al.,2019)142.12%
TSCP (Lei et al., 2018)37.12%39.24%
FJST (Eric et al., 2019) *38.00%40.20%
HyST (ensemble) (Goel et al., 2019) *38.10%44.24%
SUMBT (Lee et al., 2019) +=46.65%
TRADE (Wu et al., 2019) *45.60%48.60%
Ours49.04%50.52%
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ModelJoint AccSlot Acc
MDBT17.98%54.99%
SPanPtr49.12%87.89%
GLAD53.23%96.54%
GCE60.93%95.85%
TSCP62.01%97.32%
TRADE65.35%93.28%
Ours69.21%98.84%
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ModelJoint Acc Latency Speed Up
TRADE 45.60%362.15×2.12
TSCP (L=8) 32.15%493.44×1.56
TSCP (L=20) 37.12%767.57×1.00
Ours (T=1) 42.98%15.18×50.56
Ours (T=2) 45.78%21.67×35.42
Ours (T=3) 49.04%27.31×28.11
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We conduct an extensive ablation analysis with several variants of our mod-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 566, + 505, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 580 + ], + "score": 1.0, + "content": "els in Table 5. Besides the results of DST metrics, Joint Slot Accuracy and Slot Accuracy, we", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 578, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 104, + 578, + 505, + 591 + ], + "score": 1.0, + "content": "reported the performance of the fertility decoder in Joint Gate Accuracy and Joint Fertility Accu-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 589, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 505, + 601 + ], + "score": 1.0, + "content": "racy. These metrics are computed similarly as Joint Slot Accuracy in which the metrics are based on", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 600, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 612 + ], + "score": 1.0, + "content": "whether all predictions of gates or fertilities match the corresponding ground truth labels. 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We noted that the model fails when", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 200, + 646 + ], + "score": 1.0, + "content": "positional encoding of", + "type": "text" + }, + { + "bbox": [ + 200, + 633, + 236, + 644 + ], + "score": 0.93, + "content": "X _ { \\mathrm { d s \\times f e r t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "is removed before being passed to the state decoder. The perfor-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 258, + 657 + ], + "score": 1.0, + "content": "mance drop can be explained because", + "type": "text" + }, + { + "bbox": [ + 258, + 644, + 275, + 654 + ], + "score": 0.83, + "content": "P E", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 643, + 505, + 657 + ], + "score": 1.0, + "content": "is responsible for injecting sequential attributes to enable", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "non-autoregressive decoding. Second, we also note a slight drop of performance when slot gating is", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "removed as the models have to learn to predict a fertility of 1 for “none” and “dontcare” slots as well.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 174, + 690 + ], + "score": 1.0, + "content": "Third, removing", + "type": "text" + }, + { + "bbox": [ + 174, + 677, + 195, + 688 + ], + "score": 0.9, + "content": "X _ { \\mathrm { d e l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "as an input reduces the model performance, mostly due to the sharp decrease", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 104, + 686, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 446, + 701 + ], + "score": 1.0, + "content": "in Joint Fertility Accuracy. Lastly, removing pointer generation and relying on only", + "type": "text" + }, + { + "bbox": [ + 447, + 688, + 474, + 700 + ], + "score": 0.87, + "content": "P _ { \\mathrm { v o c a b } } ^ { \\mathrm { s t a t e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 686, + 505, + 701 + ], + "score": 1.0, + "content": "affects", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 505, + 713 + ], + "score": 1.0, + "content": "the model performance as the models are not able to infer slot values unseen during training, espe-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "cially for slots such as restaurant-name and train-arriveby. We conduct other ablation experiments", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 721, + 293, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 293, + 733 + ], + "score": 1.0, + "content": "and report additional results in Appendix A.3.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 40.5, + "bbox_fs": [ + 104, + 556, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 79, + 503, + 162 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 108, + 79, + 503, + 162 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 79, + 503, + 162 + ], + "spans": [ + { + "bbox": [ + 108, + 79, + 503, + 162 + ], + "score": 0.967, + "html": "
XdelSlot GatingPE(Xdsxfert)Pointer Gen.Joint Gate AccJoint Fert. AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
66.65%63.18%49.04%97.31%73.44%99.01%
59.23%57.83%19.56%94.36%72.12%98.96%
N/A64.23%48.74%96.62%73.01%98.97%
48.23%45.35%39.45%95.92%66.27%98.63%
√(no sys. act)52.45%56.81%44.87%96.95%70.83%98.74%
63.19%58.31%43.46%96.72%64.37%98.39%
44.22%42.01%34.48%95.89%61.32%98.24%
N/A41.35%33.52%95.42%60.99%98.19%
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We conduct experiments that use an auto-regressive state decoder and keep", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 226, + 504, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 504, + 236 + ], + "score": 1.0, + "content": "other parts of the model the same. For the fertility decoder, we do not use Equation 14 and 16 as", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 235, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 249 + ], + "score": 1.0, + "content": "fertility becomes redundant in this case. We still use the output to predict slot gates. Similar to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "TRADE, we use the summation of embedding vectors of each domain and slot pair as input to the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 259, + 504, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 504, + 270 + ], + "score": 1.0, + "content": "state decoder and generate slot value token by token. First, From Table 6, we note that the perfor-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "mance does not change significantly as compared to the non-autoregressive version. This reveals", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 279, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 293 + ], + "score": 1.0, + "content": "that our proposed NADST models can predict fertilities reasonably well and performance is com-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "parable with the auto-regressive approach. Second, we observe that the auto-regressive models are", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 301, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 315 + ], + "score": 1.0, + "content": "less sensitive to the use of system action in dialogue history delexicalization. We expect this as pre-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "score": 1.0, + "content": "dicting slot gates is easier than predicting fertilities. Finally, we note that our auto-regressive model", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "variants still outperform the existing approaches. This could be due to the high-level dependencies", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 334, + 463, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 463, + 348 + ], + "score": 1.0, + "content": "among (domain, slot) pairs learned during the first part of the model to predict slot gates.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 10.5 + }, + { + "type": "table", + "bbox": [ + 136, + 356, + 475, + 420 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 136, + 356, + 475, + 420 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 136, + 356, + 475, + 420 + ], + "spans": [ + { + "bbox": [ + 136, + 356, + 475, + 420 + ], + "score": 0.976, + "html": "
MultiWOZSys. ActJoint Gate AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
2.1165.89%49.76%97.40%71.39%98.92%
2.162.04%46.57%97.23%66.72%98.65%
2.068.81%50.08%97.44%79.04%99.22%
2.065.27%50.46%97.43%76.21%99.08%
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In Figure 4, we include two examples of dialogue", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 430, + 486 + ], + "score": 1.0, + "content": "state prediction and the corresponding visualization of self-attention scores of", + "type": "text" + }, + { + "bbox": [ + 431, + 474, + 470, + 486 + ], + "score": 0.92, + "content": "X _ { d s \\times f e r t }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "in state", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "score": 1.0, + "content": "decoder. 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By attending on token rep-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "resentations of attraction-name with corresponding output “christ college”, the models can infer", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "“attraction-type=college” correctly. In addition, our model also detects contextual dependency be-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 582, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 384, + 597 + ], + "score": 1.0, + "content": "tween train-departure and attraction-name to predict “train-departure", + "type": "text" + }, + { + "bbox": [ + 385, + 585, + 391, + 593 + ], + "score": 0.32, + "content": "\\underline { { \\underline { { \\mathbf { \\Pi } } } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 582, + 505, + 597 + ], + "score": 1.0, + "content": "christ college.” Refer to Ap-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 595, + 499, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 499, + 608 + ], + "score": 1.0, + "content": "pendix A.4 for the dialogue history with gold and prediction states of these two sample dialogues.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 621, + 195, + 634 + ], + "lines": [ + { + "bbox": [ + 104, + 618, + 198, + 638 + ], + "spans": [ + { + "bbox": [ + 104, + 618, + 198, + 638 + ], + "score": 1.0, + "content": "5 CONCLUSION", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 647, + 505, + 724 + ], + "lines": [ + { + "bbox": [ + 106, + 647, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 647, + 505, + 659 + ], + "score": 1.0, + "content": "We proposed NADST, a novel Non-Autoregressive neural architecture for DST that allows the model", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "score": 1.0, + "content": "to explicitly learn dependencies at both slot-level and token-level to improve the joint accuracy", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 667, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 682 + ], + "score": 1.0, + "content": "rather than just individual slot accuracy. Our approach also enables fast decoding of dialogue states", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 680, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 693 + ], + "score": 1.0, + "content": "by adopting a parallel decoding strategy in decoding components. Our extensive experiments on the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 691, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 506, + 703 + ], + "score": 1.0, + "content": "well-known MultiWOZ corpus for large-scale multi-domain dialogue systems benchmark show that", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 700, + 506, + 715 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 715 + ], + "score": 1.0, + "content": "our NADST model achieved the state-of-the-art accuracy results for DST tasks, while enjoying a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 713, + 481, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 713, + 481, + 725 + ], + "score": 1.0, + "content": "substantially low inference latency which is an order of magnitude lower than the prior work.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 301, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 79, + 503, + 162 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 108, + 79, + 503, + 162 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 79, + 503, + 162 + ], + "spans": [ + { + "bbox": [ + 108, + 79, + 503, + 162 + ], + "score": 0.967, + "html": "
XdelSlot GatingPE(Xdsxfert)Pointer Gen.Joint Gate AccJoint Fert. AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
66.65%63.18%49.04%97.31%73.44%99.01%
59.23%57.83%19.56%94.36%72.12%98.96%
N/A64.23%48.74%96.62%73.01%98.97%
48.23%45.35%39.45%95.92%66.27%98.63%
√(no sys. act)52.45%56.81%44.87%96.95%70.83%98.74%
63.19%58.31%43.46%96.72%64.37%98.39%
44.22%42.01%34.48%95.89%61.32%98.24%
N/A41.35%33.52%95.42%60.99%98.19%
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We conduct experiments that use an auto-regressive state decoder and keep", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 226, + 504, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 504, + 236 + ], + "score": 1.0, + "content": "other parts of the model the same. For the fertility decoder, we do not use Equation 14 and 16 as", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 235, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 249 + ], + "score": 1.0, + "content": "fertility becomes redundant in this case. We still use the output to predict slot gates. Similar to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "TRADE, we use the summation of embedding vectors of each domain and slot pair as input to the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 259, + 504, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 504, + 270 + ], + "score": 1.0, + "content": "state decoder and generate slot value token by token. First, From Table 6, we note that the perfor-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "mance does not change significantly as compared to the non-autoregressive version. This reveals", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 279, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 293 + ], + "score": 1.0, + "content": "that our proposed NADST models can predict fertilities reasonably well and performance is com-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "parable with the auto-regressive approach. Second, we observe that the auto-regressive models are", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 301, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 315 + ], + "score": 1.0, + "content": "less sensitive to the use of system action in dialogue history delexicalization. We expect this as pre-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "score": 1.0, + "content": "dicting slot gates is easier than predicting fertilities. Finally, we note that our auto-regressive model", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "variants still outperform the existing approaches. 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MultiWOZSys. ActJoint Gate AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
2.1165.89%49.76%97.40%71.39%98.92%
2.162.04%46.57%97.23%66.72%98.65%
2.068.81%50.08%97.44%79.04%99.22%
2.065.27%50.46%97.43%76.21%99.08%
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In Figure 4, we include two examples of dialogue", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 473, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 430, + 486 + ], + "score": 1.0, + "content": "state prediction and the corresponding visualization of self-attention scores of", + "type": "text" + }, + { + "bbox": [ + 431, + 474, + 470, + 486 + ], + "score": 0.92, + "content": "X _ { d s \\times f e r t }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 473, + 505, + 486 + ], + "score": 1.0, + "content": "in state", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 505, + 498 + ], + "score": 1.0, + "content": "decoder. 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This could be explained as the hotel domain has a complicated slot ontology with 10", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 594, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "different slots, larger than the other domains. For the taxi domain, we observed that dialogues with", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 605, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 617 + ], + "score": 1.0, + "content": "this domain are usually of multiple domains, including the taxi domain in combination with other", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 616, + 437, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 437, + 628 + ], + "score": 1.0, + "content": "domains. 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We varied our models for different values of", + "type": "text" + }, + { + "bbox": [ + 408, + 483, + 505, + 495 + ], + "score": 0.92, + "content": "T = T _ { f e r t } = T _ { s t a t e } \\in", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 494, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 107, + 494, + 141, + 506 + ], + "score": 0.88, + "content": "\\{ 1 , 2 , 3 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 494, + 505, + 507 + ], + "score": 1.0, + "content": ". In all experiments, the warmup steps are fine-tuned from a range from 13K to 20K training", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 504, + 133, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 133, + 519 + ], + "score": 1.0, + "content": "steps.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5, + "bbox_fs": [ + 104, + 428, + 506, + 519 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 529, + 231, + 541 + ], + "lines": [ + { + "bbox": [ + 106, + 529, + 232, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 232, + 542 + ], + "score": 1.0, + "content": "A.3 ADDITIONAL RESULTS", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 550, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "Domain-specific Results. We conduct experiments to evaluate our model performance in all 5 test", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "domains in MultiWOZ2.0 and 2.1. From Table 8, our models perform better in restaurant and at-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 573, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 584 + ], + "score": 1.0, + "content": "traction domain in general. The performance in the taxi and hotel domain is significantly lower than", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "other domains. This could be explained as the hotel domain has a complicated slot ontology with 10", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 594, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "different slots, larger than the other domains. For the taxi domain, we observed that dialogues with", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 605, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 617 + ], + "score": 1.0, + "content": "this domain are usually of multiple domains, including the taxi domain in combination with other", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 616, + 437, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 437, + 628 + ], + "score": 1.0, + "content": "domains. Hence, it is more challenging to track dialogue states in the taxi domain.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 550, + 506, + 628 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 632, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 645 + ], + "score": 1.0, + "content": "Latency Results. We visualized the model latency against the length of dialogue history in Figure", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "2 and 3. In Figure 2, we only plot with dialogue history length up to 80 tokens as TSCP models", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "do not use the full dialogue history as input. In Figure 3, for a fair comparison between TRADE", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "and NADST, we plot the latency of the original TRADE which decodes dialogue state slot by slot", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "and a new version of TRADE∗ model which decodes individual slots following a parallel decoding", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "mechanism. Since TRADE independently generates dialogue state slot by slot, we enable parallel", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "generation simply by feeding all slots into models at once (without impacts on performance). How-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "ever, at the token level, TRADE∗ still follows an autoregressive decoding framework. Compared to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "TRADE∗ and TSCP, our model latency is only dependent on the model complexity i.e. the number", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 212, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 183, + 226 + ], + "score": 1.0, + "content": "of attention layers", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 183, + 213, + 269, + 226 + ], + "score": 0.93, + "content": "T = T _ { f e r t } = T _ { s t a t e }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 269, + 212, + 506, + 226 + ], + "score": 1.0, + "content": ". For TRADE∗ and TSCP, the model latency increases as", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "score": 1.0, + "content": "dialogue extends over time while NADST latency is almost constant. The non-constant latency is", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "mostly due to overhead processing such as delexicalizing dialogue history. Our approach is, hence,", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "suitable especially for dialogues in multiple domains as they usually extend over more number of", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "score": 1.0, + "content": "turns (e.g. 13 to 14 turns per dialogue in average in MultiWOZ corpus) In Figure 3, we noted that", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 268, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 506, + 281 + ], + "score": 1.0, + "content": "the latency of the original TRADE is almost unchanged as the dialogue history extends. This is most", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "likely due to the model having to decode all possible (domain, slot) pairs rather than just relevant", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 290, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 302 + ], + "score": 1.0, + "content": "pairs as in NADST and TSCP. The TRADE∗ shows a clearer increasing trend of latency because", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "the parallel process is independent of the number of (domain,slot) pairs considered. TRADE∗ still", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 312, + 479, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 479, + 324 + ], + "score": 1.0, + "content": "requires more time to decode than NADST as we also parallelize decoding at the token level.", + "type": "text", + "cross_page": true + } + ], + "index": 14 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 633, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 180, + 79, + 432, + 161 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 180, + 79, + 432, + 161 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 180, + 79, + 432, + 161 + ], + "spans": [ + { + "bbox": [ + 180, + 79, + 432, + 161 + ], + "score": 0.979, + "html": "
MultiWOZ2.1MultiWOZ2.0
DomainJoint AccSlotJoint AccSlot
Hotel48.76%97.70%53.86%97.75%
Train62.36%98.36%58.58%98.08%
Attraction66.83%98.89%74.21%99.19%
Restaurant65.37%98.78%69.21%98.84%
Taxi33.80%96.69%34.94%96.76%
", + "type": "table", + "image_path": "4f90abaa415c69b0d8e2cfeef299b2aeb123952688e5a73143d140b89e8d3783.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 180, + 79, + 432, + 106.33333333333333 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 180, + 106.33333333333333, + 432, + 133.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 180, + 133.66666666666666, + 432, + 161.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 168, + 503, + 191 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "score": 1.0, + "content": "Table 8: Additional domain-specific results of our model in MultiWOZ2.0 and MultiWOZ2.1. The", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 179, + 430, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 179, + 430, + 192 + ], + "score": 1.0, + "content": "model performs best with the restaurant domain and worst with the taxi domain.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 212, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 212, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 183, + 226 + ], + "score": 1.0, + "content": "of attention layers", + "type": "text" + }, + { + "bbox": [ + 183, + 213, + 269, + 226 + ], + "score": 0.93, + "content": "T = T _ { f e r t } = T _ { s t a t e }", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 212, + 506, + 226 + ], + "score": 1.0, + "content": ". For TRADE∗ and TSCP, the model latency increases as", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "score": 1.0, + "content": "dialogue extends over time while NADST latency is almost constant. The non-constant latency is", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "mostly due to overhead processing such as delexicalizing dialogue history. Our approach is, hence,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "suitable especially for dialogues in multiple domains as they usually extend over more number of", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "score": 1.0, + "content": "turns (e.g. 13 to 14 turns per dialogue in average in MultiWOZ corpus) In Figure 3, we noted that", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 268, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 506, + 281 + ], + "score": 1.0, + "content": "the latency of the original TRADE is almost unchanged as the dialogue history extends. This is most", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "likely due to the model having to decode all possible (domain, slot) pairs rather than just relevant", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 290, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 302 + ], + "score": 1.0, + "content": "pairs as in NADST and TSCP. The TRADE∗ shows a clearer increasing trend of latency because", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "the parallel process is independent of the number of (domain,slot) pairs considered. TRADE∗ still", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 312, + 479, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 479, + 324 + ], + "score": 1.0, + "content": "requires more time to decode than NADST as we also parallelize decoding at the token level.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9.5 + }, + { + "type": "image", + "bbox": [ + 113, + 343, + 496, + 592 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 113, + 343, + 496, + 592 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 343, + 496, + 592 + ], + "spans": [ + { + "bbox": [ + 113, + 343, + 496, + 592 + ], + "score": 0.974, + "type": "image", + "image_path": "7d62c30615b53c3ffca6ed161c5e7b74a2c23e2990d169d20c0d2be0d5d381f8.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 113, + 343, + 496, + 426.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 113, + 426.0, + 496, + 509.0 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 113, + 509.0, + 496, + 592.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 608, + 505, + 675 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 608, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 505, + 621 + ], + "score": 1.0, + "content": "Figure 2: Comparison of model latency as wall-clock time (in ms) per prediction of complete dia-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 618, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 104, + 618, + 505, + 633 + ], + "score": 1.0, + "content": "logue state (not by individual slot). The latency is plotted against the length of the dialogue history.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 630, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 642 + ], + "score": 1.0, + "content": "We compare our models with TSCP (Lei et al., 2018) with varied maximum output length of dia-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 641, + 505, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 156, + 654 + ], + "score": 1.0, + "content": "logue states", + "type": "text" + }, + { + "bbox": [ + 157, + 641, + 185, + 651 + ], + "score": 0.9, + "content": "L = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 641, + 203, + 654 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 204, + 641, + 236, + 651 + ], + "score": 0.89, + "content": "L = 2 0", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 641, + 505, + 654 + ], + "score": 1.0, + "content": ". We vary our models with different values of number of attention", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 651, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 133, + 665 + ], + "score": 1.0, + "content": "layers", + "type": "text" + }, + { + "bbox": [ + 133, + 652, + 253, + 664 + ], + "score": 0.9, + "content": "T = T _ { f e r t } = T _ { s t a t e } = 1 , 2 , 3", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 651, + 505, + 665 + ], + "score": 1.0, + "content": ". Our models are more scalable as the latency does not change", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 663, + 325, + 676 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 325, + 676 + ], + "score": 1.0, + "content": "significantly when dialogue history extends over time.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5 + } + ], + "index": 18.25 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 701 + ], + "score": 1.0, + "content": "Ablation Results. We conduct additional ablation experiments by varying the proportion of predic-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 265, + 711 + ], + "score": 1.0, + "content": "tion values vs. ground-truth values for", + "type": "text" + }, + { + "bbox": [ + 265, + 699, + 285, + 710 + ], + "score": 0.9, + "content": "X _ { d e l }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 698, + 304, + 711 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 305, + 699, + 344, + 711 + ], + "score": 0.92, + "content": "X _ { d s \\times f e r t }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 698, + 506, + 711 + ], + "score": 1.0, + "content": "as input to the models. As can be seen", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 476, + 723 + ], + "score": 1.0, + "content": "in Table 9, the model performance increases gradually as the proportion of prediction input", + "type": "text" + }, + { + "bbox": [ + 477, + 710, + 486, + 720 + ], + "score": 0.49, + "content": "\\%", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "pred", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 162, + 734 + ], + "score": 1.0, + "content": "reduces from", + "type": "text" + }, + { + "bbox": [ + 162, + 721, + 186, + 731 + ], + "score": 0.84, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 720, + 266, + 734 + ], + "score": 1.0, + "content": "(true prediction) to", + "type": "text" + }, + { + "bbox": [ + 266, + 721, + 281, + 731 + ], + "score": 0.86, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "(oracle prediction). 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MultiWOZ2.1MultiWOZ2.0
DomainJoint AccSlotJoint AccSlot
Hotel48.76%97.70%53.86%97.75%
Train62.36%98.36%58.58%98.08%
Attraction66.83%98.89%74.21%99.19%
Restaurant65.37%98.78%69.21%98.84%
Taxi33.80%96.69%34.94%96.76%
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%pred Xdel%pred XdsxfertJoint AccSlot Acc%pred Xdel%pred XdsxfertJoint AccSlot Acc
0%100%57.40%98.06%100%0%67.32%98.67%
20%100%56.50%97.98%100%20%64.09%98.47%
40%100%55.24%97.91%100%40%61.29%98.29%
60%100%53.58%97.79%100%60%57.02%98.00%
80%100%52.02%97.67%100%80%54.11%97.76%
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Human:i am looking for abbey pool and astroturf pitch can you help me ?
Turn 1Gold Dialog State:(attraction-name,abbey pool and astroturf pitch)
Predicted Dialog State:(attraction-name,abbey pool and astroturf pitch)
yes,abbey pool and astroturf pitch is a swimmingpool east of town .their number is O1223902088,
System:and address is pool way,whitehill road,off newmarket road . postcode cb58nt .
Turn 2Human:thank you very much for the information .that is alli needed help with . have a nice day.
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool)
Predicted Dialog State:(attraction-area, east),(attraction-name,abbey pool and astroturf pitch)
System:you are welcome .let me know if i can do anything else for you .
Human:i actually do need to find a train going to ely.
Turn 3Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool),
(train-destination-ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-destination-ely)
System:is that leaving from cambridge ?and if so,what time would you like to arrive in ely ?
Turn 4Human:yes,i willbe leaving cambridge and going toely,i would like it toarrive by 11:30. (atraction-area,east),(attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
(train-departure,cambridge),(train-destination, ely) what day would yoube traveling ?there are 2,828 trains on that route.there isa train that departs friday at
Turn 5System:9:50 and will arrive in ely at 10:07 .
Human:Oops !i guess forgot to mention it s thursday that i need to travel .
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
System:(train-day, thursday),(train-departure,cambridge),(train-destination, ely) there are 3 trains that would fit,leaving at O5:50,O7:50,or 09:50.
Turn 6Human:can i get info for the O9:5O the price and the trains id please ?
(attraction-area,east),(attraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge), (train-destination, ely), (train-leaveat, 09:50)
(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat, 09:50)
System:certainly .the train s id is tr1923,and the price for a ticket is 4.40 pounds .
Turn 7Human:great,thank you ! that will be allineed for now.
Gold Dialog State:(atraction-area,east), (attraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50) (attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat,09:50)
System:are you certain you do not need further assistance ?
Turn 8Human:9:50 departure,4.40 pounds,trl923 .i got it,thank you ! (atraction-area,east), (attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O), (train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50)
Predicted Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
", + "type": "table", + "image_path": "44e654f979c668baf1af46aec3cda0d45376a9b140dc6b7e763ee76e1327de84.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 133, + 502, + 307.66666666666663 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 307.66666666666663, + 502, + 482.33333333333326 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 482.33333333333326, + 502, + 656.9999999999999 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 122, + 662, + 487, + 674 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 122, + 661, + 488, + 675 + ], + "spans": [ + { + "bbox": [ + 122, + 661, + 488, + 675 + ], + "score": 1.0, + "content": "Table 10: Full set of predicted dialogue states for dialogue ID MUL0536 in MultiWOZ2.1.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + } + ], + "page_idx": 17, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 763 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 763 + ], + "score": 1.0, + "content": "18", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 109, + 133, + 502, + 657 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 109, + 133, + 502, + 657 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 133, + 502, + 657 + ], + "spans": [ + { + "bbox": [ + 109, + 133, + 502, + 657 + ], + "score": 0.975, + "html": "
Human:i am looking for abbey pool and astroturf pitch can you help me ?
Turn 1Gold Dialog State:(attraction-name,abbey pool and astroturf pitch)
Predicted Dialog State:(attraction-name,abbey pool and astroturf pitch)
yes,abbey pool and astroturf pitch is a swimmingpool east of town .their number is O1223902088,
System:and address is pool way,whitehill road,off newmarket road . postcode cb58nt .
Turn 2Human:thank you very much for the information .that is alli needed help with . have a nice day.
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool)
Predicted Dialog State:(attraction-area, east),(attraction-name,abbey pool and astroturf pitch)
System:you are welcome .let me know if i can do anything else for you .
Human:i actually do need to find a train going to ely.
Turn 3Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool),
(train-destination-ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-destination-ely)
System:is that leaving from cambridge ?and if so,what time would you like to arrive in ely ?
Turn 4Human:yes,i willbe leaving cambridge and going toely,i would like it toarrive by 11:30. (atraction-area,east),(attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
(train-departure,cambridge),(train-destination, ely) what day would yoube traveling ?there are 2,828 trains on that route.there isa train that departs friday at
Turn 5System:9:50 and will arrive in ely at 10:07 .
Human:Oops !i guess forgot to mention it s thursday that i need to travel .
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
System:(train-day, thursday),(train-departure,cambridge),(train-destination, ely) there are 3 trains that would fit,leaving at O5:50,O7:50,or 09:50.
Turn 6Human:can i get info for the O9:5O the price and the trains id please ?
(attraction-area,east),(attraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge), (train-destination, ely), (train-leaveat, 09:50)
(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat, 09:50)
System:certainly .the train s id is tr1923,and the price for a ticket is 4.40 pounds .
Turn 7Human:great,thank you ! that will be allineed for now.
Gold Dialog State:(atraction-area,east), (attraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50) (attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat,09:50)
System:are you certain you do not need further assistance ?
Turn 8Human:9:50 departure,4.40 pounds,trl923 .i got it,thank you ! (atraction-area,east), (attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O), (train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50)
Predicted Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
", + "type": "table", + "image_path": "44e654f979c668baf1af46aec3cda0d45376a9b140dc6b7e763ee76e1327de84.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 133, + 502, + 307.66666666666663 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 307.66666666666663, + 502, + 482.33333333333326 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 482.33333333333326, + 502, + 656.9999999999999 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 122, + 662, + 487, + 674 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 122, + 661, + 488, + 675 + ], + "spans": [ + { + "bbox": [ + 122, + 661, + 488, + 675 + ], + "score": 1.0, + "content": "Table 10: Full set of predicted dialogue states for dialogue ID MUL0536 in MultiWOZ2.1.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 105, + 170, + 465, 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Human:what s your favorite college to visit in cambridge ?
Turn 1Gold Dialog State:(attraction-type,college)
Predicted Dialog State:(attraction-type,college)
ilike christ scollege in the center of town,but there are many others throughout the city.what part of
System:
the city did you want to visit ?
Turn 2 Human:i think i would like to visit that location,it seems nice .could i get the phone number and the area ?
Gold Dialog State:(attraction-name,christ college),(attraction-type,college)
Predicted Dialog State:(attraction-area,centre),(attraction-name,christ college),(attraction-type,college)
System:the area is centre and the phone number is O122333490o.is there anything else ican help you with ? actually,iam hungry .can you find me arestaurant that serves north american food ? something not
Turn 3Human:super expensive,maybe in a moderate price range ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-food,modern american), (restaurant-pricerange, moderate)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college),(restaurant-food, north american),
System:(restaurant-pricerange,moderate) iam sorry,there s no restaurant serving specifically north american or american food in my database,
Turn 4Human:is there another type of food you would consider ? how about modern european food ?
(attraction-name,christ college),(atraction-type,collge),(restaurant-food,modern european),
Gold Dialog State:(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-food, modern european), (restaurant-pricerange, moderate)
System:there are 3 modern european restaurant -s 2 in the center and1 in the south .do you have a preference ?
Turn 5Human:i would prefer the 1 on the centre,could i have the phone number and postcode please ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
(restaurant-food, modern european),(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-area,centre), (restaurant-food, modern european),(restaurant-pricerange, moderate)
System:de luca cucina and bar s phone number is O1223356666. postcode is cb2law.
Turn 6Human:could you help me get a taxi to get from the college to the restaurant ?
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate),(taxi-departure,christcolge), (taxi-destination,de luca cucina and bar)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ colge), (taxi-destination,de luca cucina and bar)
System:what time would you like to leave thecollege?icanbook youataxi to take you to the restaurant if you
Turn 7would like.
Human:i would like to leave by 13:00. (attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre), (restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christcolge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,13:00)
System:ihave booked youataxi leaving at12:45.the car will beared toyotaand contact number is O7350032543 .anything else today ?
Turn 8Human:that s it .thank you very much .
(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
System:will you need anymore information concerning your stay ?
that is all,thanks for the help.
Turn 9Human:
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate), (taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:
", + "type": "table", + "image_path": "f5de6ca3b516ac04cdf94f8ad0bbda7298658e1e2f790593d11ceaad4797aa4e.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 96, + 504, + 295.33333333333337 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 295.33333333333337, + 504, + 494.66666666666674 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 494.66666666666674, + 504, + 694.0000000000001 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 118, + 700, + 489, + 712 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 119, + 699, + 491, + 713 + ], + "spans": [ + { + "bbox": [ + 119, + 699, + 491, + 713 + ], + "score": 1.0, + "content": "Table 11: Full set of predicted dialogue states for dialogue ID PMUL3759 in MultiWOZ2.1.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + } + ], + "page_idx": 19, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 749, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 298, + 749, + 313, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 109, + 96, + 504, + 694 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 109, + 96, + 504, + 694 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 96, + 504, + 694 + ], + "spans": [ + { + "bbox": [ + 109, + 96, + 504, + 694 + ], + "score": 0.97, + "html": "
Human:what s your favorite college to visit in cambridge ?
Turn 1Gold Dialog State:(attraction-type,college)
Predicted Dialog State:(attraction-type,college)
ilike christ scollege in the center of town,but there are many others throughout the city.what part of
System:
the city did you want to visit ?
Turn 2 Human:i think i would like to visit that location,it seems nice .could i get the phone number and the area ?
Gold Dialog State:(attraction-name,christ college),(attraction-type,college)
Predicted Dialog State:(attraction-area,centre),(attraction-name,christ college),(attraction-type,college)
System:the area is centre and the phone number is O122333490o.is there anything else ican help you with ? actually,iam hungry .can you find me arestaurant that serves north american food ? something not
Turn 3Human:super expensive,maybe in a moderate price range ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-food,modern american), (restaurant-pricerange, moderate)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college),(restaurant-food, north american),
System:(restaurant-pricerange,moderate) iam sorry,there s no restaurant serving specifically north american or american food in my database,
Turn 4Human:is there another type of food you would consider ? how about modern european food ?
(attraction-name,christ college),(atraction-type,collge),(restaurant-food,modern european),
Gold Dialog State:(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-food, modern european), (restaurant-pricerange, moderate)
System:there are 3 modern european restaurant -s 2 in the center and1 in the south .do you have a preference ?
Turn 5Human:i would prefer the 1 on the centre,could i have the phone number and postcode please ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
(restaurant-food, modern european),(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-area,centre), (restaurant-food, modern european),(restaurant-pricerange, moderate)
System:de luca cucina and bar s phone number is O1223356666. postcode is cb2law.
Turn 6Human:could you help me get a taxi to get from the college to the restaurant ?
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate),(taxi-departure,christcolge), (taxi-destination,de luca cucina and bar)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ colge), (taxi-destination,de luca cucina and bar)
System:what time would you like to leave thecollege?icanbook youataxi to take you to the restaurant if you
Turn 7would like.
Human:i would like to leave by 13:00. (attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre), (restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christcolge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,13:00)
System:ihave booked youataxi leaving at12:45.the car will beared toyotaand contact number is O7350032543 .anything else today ?
Turn 8Human:that s it .thank you very much .
(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
System:will you need anymore information concerning your stay ?
that is all,thanks for the help.
Turn 9Human:
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate), (taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:
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Human: Dialog State:i want to visit a theater in the center of town (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:there are 4 matches.ido not have any info on the fees.do you have any other preferences ? no other preferences,i just want to be sure to get the phone number of whichever theatre we pick . (attraction-area, centre), (attraction-type, theatre)
System: Human: Dialog State:irecommendthecambridgecorn exchangethere phone numberis O1223357851.isthere anything elseican helpyou with? yes,i am looking for a tuesday train. (attraction-area,centre),(atraction-name,thecambridgecor exchange),(attraction-type,theatre),(train-day,tuesday)
System: Human:where will you be departing fromand what s your destination ? from cambridge to london liverpool street
Dialog State:(atraction-area,centre),(atraction-name,thecambridgecon exchange),(attraction-type,theatre),(train-day,tuesday), (train-departure, cambridge), (train-destination, london liverpool street)
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ModelMultiWOZ2.1MultiWOZ2.0
MDBT (Ramadan et al., 2018) †15.57%
SpanPtr (Vinyals et al., 2015)30.28%
GLAD (Zhong et al., 2018) +35.57%
GCE (Nouri & Hosseini-Asl, 2018) +36.27%
HJST (Eric et al., 2019) *35.55%38.40%
DST Reader (single) (Gao et al., 2019) *36.40%39.41%
DST Reader (ensemble) (Gao et al.,2019)142.12%
TSCP (Lei et al., 2018)37.12%39.24%
FJST (Eric et al., 2019) *38.00%40.20%
HyST (ensemble) (Goel et al., 2019) *38.10%44.24%
SUMBT (Lee et al., 2019) +=46.65%
TRADE (Wu et al., 2019) *45.60%48.60%
Ours49.04%50.52%
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ModelJoint Acc Latency Speed Up
TRADE 45.60%362.15×2.12
TSCP (L=8) 32.15%493.44×1.56
TSCP (L=20) 37.12%767.57×1.00
Ours (T=1) 42.98%15.18×50.56
Ours (T=2) 45.78%21.67×35.42
Ours (T=3) 49.04%27.31×28.11
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ModelJoint AccSlot Acc
MDBT17.98%54.99%
SPanPtr49.12%87.89%
GLAD53.23%96.54%
GCE60.93%95.85%
TSCP62.01%97.32%
TRADE65.35%93.28%
Ours69.21%98.84%
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MultiWOZSys. ActJoint Gate AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
2.1165.89%49.76%97.40%71.39%98.92%
2.162.04%46.57%97.23%66.72%98.65%
2.068.81%50.08%97.44%79.04%99.22%
2.065.27%50.46%97.43%76.21%99.08%
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XdelSlot GatingPE(Xdsxfert)Pointer Gen.Joint Gate AccJoint Fert. AccJoint Slot AccSlot AccOracle Joint Slot AccOracle Slot Acc
66.65%63.18%49.04%97.31%73.44%99.01%
59.23%57.83%19.56%94.36%72.12%98.96%
N/A64.23%48.74%96.62%73.01%98.97%
48.23%45.35%39.45%95.92%66.27%98.63%
√(no sys. act)52.45%56.81%44.87%96.95%70.83%98.74%
63.19%58.31%43.46%96.72%64.37%98.39%
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MultiWOZ2.1MultiWOZ2.0
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Train62.36%98.36%58.58%98.08%
Attraction66.83%98.89%74.21%99.19%
Restaurant65.37%98.78%69.21%98.84%
Taxi33.80%96.69%34.94%96.76%
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%pred Xdel%pred XdsxfertJoint AccSlot Acc%pred Xdel%pred XdsxfertJoint AccSlot Acc
0%100%57.40%98.06%100%0%67.32%98.67%
20%100%56.50%97.98%100%20%64.09%98.47%
40%100%55.24%97.91%100%40%61.29%98.29%
60%100%53.58%97.79%100%60%57.02%98.00%
80%100%52.02%97.67%100%80%54.11%97.76%
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Human:i am looking for abbey pool and astroturf pitch can you help me ?
Turn 1Gold Dialog State:(attraction-name,abbey pool and astroturf pitch)
Predicted Dialog State:(attraction-name,abbey pool and astroturf pitch)
yes,abbey pool and astroturf pitch is a swimmingpool east of town .their number is O1223902088,
System:and address is pool way,whitehill road,off newmarket road . postcode cb58nt .
Turn 2Human:thank you very much for the information .that is alli needed help with . have a nice day.
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool)
Predicted Dialog State:(attraction-area, east),(attraction-name,abbey pool and astroturf pitch)
System:you are welcome .let me know if i can do anything else for you .
Human:i actually do need to find a train going to ely.
Turn 3Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool),
(train-destination-ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-destination-ely)
System:is that leaving from cambridge ?and if so,what time would you like to arrive in ely ?
Turn 4Human:yes,i willbe leaving cambridge and going toely,i would like it toarrive by 11:30. (atraction-area,east),(attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
(train-departure,cambridge),(train-destination, ely) what day would yoube traveling ?there are 2,828 trains on that route.there isa train that departs friday at
Turn 5System:9:50 and will arrive in ely at 10:07 .
Human:Oops !i guess forgot to mention it s thursday that i need to travel .
Gold Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination, ely)
Predicted Dialog State:(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
System:(train-day, thursday),(train-departure,cambridge),(train-destination, ely) there are 3 trains that would fit,leaving at O5:50,O7:50,or 09:50.
Turn 6Human:can i get info for the O9:5O the price and the trains id please ?
(attraction-area,east),(attraction-name,abbey pool and astroturf pitch),(atraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge), (train-destination, ely), (train-leaveat, 09:50)
(attraction-area, east), (atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat, 09:50)
System:certainly .the train s id is tr1923,and the price for a ticket is 4.40 pounds .
Turn 7Human:great,thank you ! that will be allineed for now.
Gold Dialog State:(atraction-area,east), (attraction-name,abbey pool and astroturf pitch),(attraction-type,swimming pool), (train-arriveby,11:3O),(train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50) (attraction-area, east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
Predicted Dialog State:(train-day,thursday),(train-departure,cambridge),(train-destination,ely),(train-leaveat,09:50)
System:are you certain you do not need further assistance ?
Turn 8Human:9:50 departure,4.40 pounds,trl923 .i got it,thank you ! (atraction-area,east), (attraction-name,abbey pooland astroturf pitch),(attraction-type,swimming pool),
Gold Dialog State:(train-arriveby,11:3O), (train-day,thursday),(train-departure,cambridge),(train-destination,ely),
(train-leaveat, 09:50)
Predicted Dialog State:(attraction-area,east),(atraction-name,abbey pool and astroturf pitch),(train-arriveby,11:30),
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Human:what s your favorite college to visit in cambridge ?
Turn 1Gold Dialog State:(attraction-type,college)
Predicted Dialog State:(attraction-type,college)
ilike christ scollege in the center of town,but there are many others throughout the city.what part of
System:
the city did you want to visit ?
Turn 2 Human:i think i would like to visit that location,it seems nice .could i get the phone number and the area ?
Gold Dialog State:(attraction-name,christ college),(attraction-type,college)
Predicted Dialog State:(attraction-area,centre),(attraction-name,christ college),(attraction-type,college)
System:the area is centre and the phone number is O122333490o.is there anything else ican help you with ? actually,iam hungry .can you find me arestaurant that serves north american food ? something not
Turn 3Human:super expensive,maybe in a moderate price range ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-food,modern american), (restaurant-pricerange, moderate)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college),(restaurant-food, north american),
System:(restaurant-pricerange,moderate) iam sorry,there s no restaurant serving specifically north american or american food in my database,
Turn 4Human:is there another type of food you would consider ? how about modern european food ?
(attraction-name,christ college),(atraction-type,collge),(restaurant-food,modern european),
Gold Dialog State:(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-food, modern european), (restaurant-pricerange, moderate)
System:there are 3 modern european restaurant -s 2 in the center and1 in the south .do you have a preference ?
Turn 5Human:i would prefer the 1 on the centre,could i have the phone number and postcode please ?
Gold Dialog State:(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
(restaurant-food, modern european),(restaurant-pricerange,moderate)
Predicted Dialog State:(attraction-name,christ college),(atraction-type,college),(restaurant-area,centre), (restaurant-food, modern european),(restaurant-pricerange, moderate)
System:de luca cucina and bar s phone number is O1223356666. postcode is cb2law.
Turn 6Human:could you help me get a taxi to get from the college to the restaurant ?
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate),(taxi-departure,christcolge), (taxi-destination,de luca cucina and bar)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ colge), (taxi-destination,de luca cucina and bar)
System:what time would you like to leave thecollege?icanbook youataxi to take you to the restaurant if you
Turn 7would like.
Human:i would like to leave by 13:00. (attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
Predicted Dialog State:(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre), (restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christcolge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,13:00)
System:ihave booked youataxi leaving at12:45.the car will beared toyotaand contact number is O7350032543 .anything else today ?
Turn 8Human:that s it .thank you very much .
(attraction-name,christ college),(attraction-type,college), (restaurant-area,centre),
Gold Dialog State:(restaurant-food, modern european),(restaurant-pricerange,moderate), (taxi-departure,christ collge),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(araction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:(restaurant-food, modern european), (restaurant-pricerange,moderate),(taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
System:will you need anymore information concerning your stay ?
that is all,thanks for the help.
Turn 9Human:
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Gold Dialog State:(restaurant-food,modern european),(restaurant-pricerange,moderate), (taxi-departure,christ college),
(taxi-destination,de luca cucina and bar),(taxi-leaveat,12:45)
(attraction-name,christ college),(attraction-type,college),(restaurant-area,centre),
Predicted Dialog State:
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Regularization can be implicit, as is the case of stochastic gradient descent and parameter sharing in convolutional layers, or explicit. Explicit regularization techniques, most common forms are weight decay and dropout, have proven successful in terms of improved generalization, but they introduce sensitive hyper-parameters and, incongruously, often require deeper and wider architectures to compensate for the reduced capacity. In contrast, data augmentation techniques exploit domain knowledge to increase the number of training examples and improve generalization without reducing the representational capacity and without introducing model-dependent parameters, since it is applied on the training data. In this paper we systematically contrast data augmentation and explicit regularization on three popular architectures and three image object classification data sets. Our results demonstrate that data augmentation alone can achieve the same performance or higher as regularized models and exhibits much higher adaptability to changes in the architecture and the amount of training data. + +# 1 INTRODUCTION + +One of the central issues in machine learning research and application is finding ways of improving generalization. Regularization, loosely defined as any modification applied to a learning algorithm that helps prevent overfitting, plays therefore a key role in machine learning (Girosi et al., 1995; Müller, 2012). In the case of deep learning, where neural networks tend to have several orders of magnitude more parameters than training examples, statistical learning theory (Vapnik & Chervonenkis, 1971) indicates that regularization becomes even more crucial. Accordingly, a myriad of techniques have been proposed as regularizers: weight decay (Hanson & Pratt, 1989) and other $L ^ { p }$ penalties; dropout (Srivastava et al., 2014) and stochastic depth (Huang et al., 2016), to name a few examples. Moreover, whereas in simpler machine learning algorithms the regularizers can be easily identified as explicit terms in the objective function, in modern deep neural networks the sources of regularization are not only explicit, but implicit (Neyshabur et al., 2014). In this regard, many techniques have been studied for their regularization effect, despite not being explicitly intended as such. That is the case of unsupervised pre-training (Erhan et al., 2010), multi-task learning (Caruana, 1998), convolutional layers (LeCun et al., 1990), batch normalization (Ioffe & Szegedy, 2015) or adversarial training (Szegedy et al., 2013). In sum, there are multiple elements in deep learning that contribute to reduce overfitting and thus improve generalization. + +Driven by the success of such techniques and the efficient use of GPUs, considerable research effort has been devoted to finding ways of training deeper and wider networks with larger capacity (Simonyan & Zisserman, 2014; He et al., 2016; Zagoruyko & Komodakis, 2016). Ironically, the increased representational capacity is eventually reduced in practice by the use of explicit regularization, most commonly weight decay and dropout. It is known, for instance, that the gain in generalization provided by dropout comes at the cost of using larger models and training for longer (Goodfellow et al., 2016). Hence, it seems that with these standard regularization methods deep networks are wasting capacity (Dauphin & Bengio, 2013). + +Unlike explicit regularization, data augmentation improves generalization without reducing the capacity of the model. Data augmentation, that is synthetically expanding a data set by applying transformations on the available examples, has been long used in machine learning (Simard et al., 1992) and identified as a critical component of many recent successful models, like AlexNet (Krizhevsky et al., 2012), All-CNN (Springenberg et al., 2014) or ResNet (He et al., 2016), among others. Although it is most popular in computer vision, data augmentation has also proven effective in speech recognition (Jaitly & Hinton, 2013), music source separation (Uhlich et al., 2017) or text categorization (Lu et al., 2006). Today, data augmentation is an almost ubiquitous technique in deep learning, which can also be regarded as an implicit regularizer for it improves generalization. + +Recently, the deep learning community has become more aware of the importance of data augmentation (Hernández-García & König, 2018b) and new techniques, such as cutout (DeVries & Taylor, 2017a) or augmentation in the feature space (DeVries & Taylor, 2017b), have been proposed. Very interestingly, a promising avenue for future research has been set by recently proposed models that automatically learn the data transformations (Hauberg et al., 2016; Lemley et al., 2017; Ratner et al., 2017; Antoniou et al., 2017). Nonetheless, another study by Perez & Wang (2017) analyzed the performance of different techniques for object recognition and concluded that one of the most successful techniques so far is still the traditional data augmentation carried out in most studies. + +However, despite its popularity, the literature lacks, to our knowledge, a systematic analysis of the impact of data augmentation on convolutional neural networks compared to explicit regularization. It is a common practice to train the models with both explicit regularization, typically weight decay and dropout, and data augmentation, assuming they all complement each other. Zhang et al. (2017) included data augmentation in their analysis of generalization of deep networks, but it was questionably considered an explicit regularizer similar to weight decay and dropout. To our knowledge, the first time data augmentation and explicit regularization were systematically contrasted was the preliminary study by Hernández-García & König (2018b). The present work aims at largely extending that work both with more empirical results and a theoretical discussion. + +Our specific contributions are the following: + +• Propose definitions of explicit and implicit regularization that aim at solving the ambiguity in the literature (Section 2). +• A theoretical discussion based on statistical learning theory about the differences between explicit regularization and data augmentation, highlighting the advantages of the latter (Section 3). +• An empirical analysis of the performance of models trained with and without explicit regularization, and different levels of data augmentation on several benchmarks (Sections 4 and 5). Further, we study their adaptability to learning from fewer examples (Section 5.2) and to changes in the architecture (Section 5.3). +• A discussion on why encouraging data augmentation instead of explicit regularization can benefit both theory and practice in deep learning (Section 6). + +# 2 EXPLICIT AND IMPLICIT REGULARIZATION + +Zhang et al. (2017) raised the thought-provoking idea that “explicit regularization may improve generalization performance, but is neither necessary nor by itself sufficient for controlling generalization error.” The authors came to this conclusion from the observation that turning off the explicit regularizers of a model does not prevent the model from generalizing reasonably well. This contrasts with traditional machine learning involving convex optimization, where regularization is necessary to avoid overfitting and generalize (Vapnik & Chervonenkis, 1971). Such observation led the authors to suggest the need for “rethinking generalization” in order to understand deep learning. + +We argue it is not necessary to rethink generalization if we instead rethink regularization and, in particular, data augmentation. Despite their thorough analysis and relevant conclusions, Zhang et al. (2017) arguably underestimated the role of implicit regularization and considered data augmentation an explicit form of regularization much like weight decay and dropout. This illustrates that the terms explicit and implicit regularization have been used subjectively and inconsistently in the literature before. In order to avoid the ambiguity and facilitate the discussion, we propose the following definitions of explicit and implicit regularization1: + +• Explicit regularization techniques are those which reduce the representational capacity of the model they are applied on. That is, given a model class $\mathcal { H } _ { 0 }$ , for instance a neural network architecture, the introduction of explicit regularization will span a new hypothesis set $\mathcal { H } _ { 1 }$ , which is a proper subset of the original set, i.e. $\mathcal { H } _ { 1 } \subsetneq \mathcal { H } _ { 0 }$ . + +• Implicit regularization is the reduction of the generalization error or overfitting provided by means other than explicit regularization techniques. Elements that provide implicit regularization do not reduce the representational capacity, but may affect the effective capacity of the model, that is the achievable set of hypotheses given the model, the optimization algorithm, hyperparameters, etc. + +One of the most common explicit regularization techniques in machine learning is $L ^ { p }$ -norm regularization, of which weight decay is a particular case, widely used in deep learning. Weight decay sets a penalty on the $L ^ { 2 }$ norm of the learnable parameters, thus constraining the representational capacity of the model. Dropout is another common example of explicit regularization, where the hypothesis set is reduced by stochastically deactivating a number of neurons during training. Similar to dropout, stochastic depth, which drops whole layers instead of neurons, is also an explicit regularization technique. + +There are multiple elements in deep neural networks that implicitly regularize the models. Note, in this regard, that the above definition, contrary to explicit regularization, does not refer to techniques, but to a regularization effect, as it can be provided by elements of very different nature. For instance, stochastic gradient descent (SGD) is known to have an implicit regularization effect without constraining the representational capacity. Batch normalization does not either reduce the capacity, but it improves generalization by smoothing the optimization landscape Santurkar et al. (2018). Of quite a different nature, but still implicit, is the regularization effect provided by early stopping, which does not reduce the representational, but the effective capacity. + +By analyzing the literature, we identified some previous pieces of work which, lacking a definition of explicit and implicit regularization, made a distinction apparently based on the mere intention of the practitioner. Under such notion, data augmentation has been considered in some cases an explicit regularization technique, as in Zhang et al. (2017). Here, we have provided definitions for explicit and implicit regularization based on their effect on the representational capacity and argue that data augmentation is not explicit, but implicit regularization, since it does not affect the representational capacity of the model. + +# 3 THEORETICAL INSIGHTS + +The generalization of a model class $\mathcal { H }$ can be analyzed through complexity measures such as the VC-dimension or, more generally, the Rademacher complexity $\mathcal { \bar { R } } _ { n } ( \mathcal { H } ) = \mathbb { E } _ { S \sim D ^ { n } } \left[ \hat { \mathcal { R } } _ { S } ( \mathcal { H } ) \right]$ , where: + +$$ +\hat { \mathcal { R } } _ { S } ( \mathcal { H } ) = \mathbb { E } _ { \sigma } \left[ \operatorname* { s u p } _ { h \in \mathcal { H } } \left| \frac { 1 } { n } \sum _ { i = 1 } ^ { n } \sigma _ { i } h ( x _ { i } ) \right| \right] +$$ + +is the empirical Rademacher complexity, defined with respect to a set of data samples $S = ( x _ { i } , . . . , x _ { n } )$ . Then, in the case of binary classification and the class of linear separators, the generalization error of a hypothesis, $\hat { \epsilon } _ { S } ( h )$ , can be bounded using the Rademacher complexity: + +$$ +\hat { \epsilon } _ { S } ( h ) \leq \mathcal { R } _ { n } ( \mathcal { H } ) + \mathcal { O } \left( \sqrt { \frac { \ln ^ { 1 } / \delta } { n } } \right) +$$ + +with probability $1 - \delta$ . Tighter bounds for some model classes, such as fully connected neural networks, can be obtained (Bartlett $\&$ Mendelson, 2002), but it is not trivial to formally analyze the influence on generalization of specific architectures or techniques. + +Nonetheless, we can use these theoretical insights to discuss the differences between explicit regularization—particularly weight decay and dropout—and implicit regularization—particularly data augmentation. A straightforward yet very relevant conclusion from the analysis of any generalization bound is the strong dependence on the number of training examples $n$ . Increasing $n$ drastically improves the generalization guarantees, as reflected by the second term in RHS of Equation 1 and the dependence of the Rademacher complexity (LHS) on the sample size as well. Data augmentation exploits prior knowledge of the data domain $D$ to create new examples and its impact on generalization is related to an increment in $n$ , since stochastic data augmentation can generate virtually infinite different samples. Admittedly, the augmented samples are not independent and identically distributed and thus, the effective increment of samples does not strictly correspond to the increment in $n$ . This is why formally analyzing the impact of data augmentation on generalization is complex and out of the scope of this paper. Recently, some studies have taken steps in this direction by analyzing the effect of simplified data transformations on generalization from a theoretical point of view Chen et al. (2019); Rajput et al. (2019). + +In contrast, explicit regularization methods aim, in general, at improving the generalization error by constraining the hypothesis class $\mathcal { H }$ , which hopefully should reduce its complexity, $\textstyle { \mathcal { R } } _ { n } ( { \mathcal { H } } )$ , and, in turn, the generalization error $\hat { \epsilon } _ { S } ( h )$ . Crucially, while data augmentation exploits domain knowledge, most explicit regularization methods only naively constrain the hypothesis class. For instance, weight decay constrains the learnable models $\mathcal { H }$ by setting a penalty on the weights norm. However, Bartlett et al. (2017) have recently shown that weight decay has little impact on the generalization bounds and confidence margins. + +Dropout has been extensively used and studied as a regularization method for neural networks (Wager et al., 2013), but the exact way in which dropout may improve generalization is still an open question and it has been concluded that the effects of dropout on neural networks are somewhat mysterious, complicated and its penalty highly non-convex (Helmbold & Long, 2017). Recently, Mou et al. (2018) have established new generalization bounds on the variance induced by a particular type of dropout on feedforward neural network. Nevertheless, dropout can also be analyzed as a random form of data augmentation without domain knowledge Bouthillier et al. (2015), that is data-dependent regularization. Therefore, any generalization bound derived for dropout can be regarded as a pessimistic bound for domain-specific, standard data augmentation. + +A similar argument applies for weight decay, which, as first shown by Bishop (1995), is equivalent to training with noisy examples if the noise amplitude is small and the objective is the sum-of-squares error function. In sum, many forms of explicit regularization are at least approximately equivalent to adding random noise to the training examples, which is the simplest form of data augmentation2. Thus, it is reasonable to argue that more sophisticated data augmentation can overshadow the benefits provided by explicit regularization. + +In general, we argue that the reason why explicit regularization may not be necessary is that neural networks are already implicitly regularized by many elements—stochastic gradient descent (SGD), convolutional layers, normalization and data augmentation, to name a few—that provide a more successful inductive bias (Neyshabur et al., 2014). For instance, it has been shown that linear models optimized with SGD converge to solutions with small norm, without any explicit regularization (Zhang et al., 2017). In the remainder of the paper, we present a set of experiments that shed more light on the advantages of data augmentation over weight decay and dropout. + +# 4 METHODS + +This section describes the experimental setup for systematically analyzing the role of data augmentation in deep neural networks compared to weight decay and dropout and builds upon the methods used in preliminary studies (Hernández-García & König, 2018a;b; Zhang et al., 2017). + +# 4.1 NETWORK ARCHITECTURES + +We perform our experiments on three distinct, popular architectures that have achieved successful results in object recognition tasks: the all convolutional network, All-CNN (Springenberg et al., + +2014); the wide residual network, WRN (Zagoruyko & Komodakis, 2016); and the densely connected network, DenseNet (Huang et al., 2017). Importantly, we keep the same training hyper-parameters (learning rate, training epochs, batch size, optimizer, etc.) as in the original papers in the cases they are reported. Below we present the main features of each network and more details can be found in the supplementary material. + +• All-CNN: it consists only of convolutional layers with ReLU activation (Glorot et al., 2011), it is relatively shallow and has few parameters. For ImageNet, the network has 16 layers and 9.4 million parameters; for CIFAR, it has 12 layers and 1.3 million parameters. In our experiments to compare the adaptability of data augmentation and explicit regularization to changes in the architecture, we also test a shallower version, with 9 layers and 374,000 parameters, and a deeper version, with 15 layers and 2.4 million parameters. +WRN: a residual network, ResNet (He et al., 2016), that achieves better performance with fewer layers, but more units per layer. Here, we choose for our experiments the WRN-28-10 version (28 layers and about $3 6 . 5 \mathrm { ~ M ~ }$ parameters), which is reported to achieve the best results on CIFAR. +DenseNet: a network architecture arranged in blocks whose layers are connected to all previous layers, allowing for very deep architectures with few parameters. Specifically, for our experiments we use a DenseNet-BC with growth rate $k = 1 2$ and 16 layers in each block, which has a total of 0.8 million parameters. + +# 4.2 DATA + +We perform the experiments on the highly benchmarked data sets ImageNet (Russakovsky et al., 2015) ILSVRC 2012, CIFAR-10 and CIFAR-100 (Krizhevsky & Hinton, 2009). We resize the $1 . 3 { \bf M }$ images from ImageNet into $1 5 0 \times 2 0 0$ pixels, as a compromise between keeping a high resolution and speeding up the training. Both on ImageNet and on CIFAR, the pixel values are in the range [0, 1] and have 32 bits floating precision. + +So as to analyze the role of data augmentation, we train every network architecture with two different augmentation schemes as well as with no data augmentation at all: + +• Light augmentation: This scheme is common in the literature, for example (Goodfellow et al., 2013; Springenberg et al., 2014), and performs only horizontal flips and horizontal and vertical translations of $10 \%$ of the image size. • Heavier augmentation: This scheme performs a larger range of affine transformations such as scaling, rotations and shear mappings, as well as contrast and brightness adjustment. On ImageNet we additionally perform a random crop of $1 2 8 \times 1 2 8$ pixels. The choice of the allowed transformations is arbitrary and the only criterion was that the objects are still recognizable in general. We deliberately avoid designing a particularly successful scheme. The details of the heavier scheme can be consulted in the supplementary material. + +# 4.3 TRAIN AND TEST + +Every architecture is trained on each data set both with explicit regularization—weight decay and dropout as specified in the original papers—and with no explicit regularization. Furthermore, we train each model with the three data augmentation schemes. The performance of the models is computed on the held out test tests. As in previous works (Krizhevsky et al., 2012; Simonyan & Zisserman, 2014), we average the softmax posteriors over 10 random light augmentations, since slightly better results are obtained. + +All the experiments are performed on Keras (Chollet et al., 2015) on top of TensorFlow (Abadi et al., 2015) and on a single GPU NVIDIA GeForce GTX 1080 Ti. + +# 5 RESULTS + +This section presents the most relevant results of the experiments comparing the roles of data augmentation and explicit regularization on convolutional neural networks. First, we present the experiments with the original architectures in section 5.1. Then, Sections 5.2 and 5.3 show the results of training the models with fewer training examples and with shallower and deeper versions of the All-CNN architecture. + +The figures aim at facilitating the comparison between the models trained with and without explicit regularization, as well as between the different levels of data augmentation. The purple bars (top of each pair) correspond to the models trained without explicit regularization—weight decay and dropout—and the red bars (bottom) to the models trained with it. The different color shades correspond to the three augmentation schemes. The figures show the relative performance of each model with respect to a particular baseline in order to highlight the relevant comparisons. A detailed and complete report of all the results can be found in the supplementary material. The results on CIFAR refer to the top-1 test accuracy while on ImageNet we report the top-5. + +![](images/8b6cc42425af0db8d9cdf35f348694e53130994bd384e0169f755bbe068c0dd7.jpg) +5.1 AN ALTERNATIVE TO EXPLICIT REGULARIZATION +Figure 1: Relative improvement of adding data augmentation and explicit regularization to the baseline models, $( a c c u r a c y - b a s e l i n e ) / a c c u r a c y * 1 0 0$ . The baseline accuracy is shown on the left. The results suggest that data augmentation alone (purple bars) can achieve even better performance than the models trained with both weight decay and dropout (red bars). + +First, we contrast the regularization effect of data augmentation and weight decay and dropout on the original networks trained with the complete data sets. For that purpose, in Figure 1 we show the relative improvement in test performance achieved by adding each technique or combination of techniques to the baseline model, that is the model trained with neither explicit regularization nor data augmentation (see the left of the bars). Table 1 shows the mean and standard deviation of each combination.3 + +Table 1: Average accuracy improvement over the baseline model of each combination of data augmentation level and presence of weight decay and dropout. + +
No explicit reg.Weight decay+ dropout
Nonebaseline3.02 (1.65)
Light8.46 (3.80)7.88 (2.60)
Heavier8.68 (4.69)7.92 (4.03)
+ +Several conclusions can be extracted from Figure 1 and Table 1. Most importantly, training with data augmentation alone (top, purple bars) improves the performance in most cases as much as or even more than training with both augmentation and explicit regularization (bottom, red bars), on average + +![](images/72253326400dc7273b680e490df4f2ccb0e351b3a7abc1cf1e5046f8da53e30c.jpg) + +![](images/9fdc95a93ffd8fade21f6268f1a50dd95ca5e87c9efcab76f06358e07c61c4de.jpg) +(a) $50 \%$ of the available training data +Figure 2: Fraction of the baseline performance when the amount of available training data is reduced, accuracy/baseline $* 1 0 0$ . The models trained wit explicit regularization present a significant drop in performance as compared to the models trained with only data augmentation. The differences become larger as the amount of training data decreases. + +8.57 and $7 . 9 0 \%$ respectively. This is quite a surprising and remarkable result: note that the studied architectures achieved state-of-the-art results at the moment of their publication and the models included both light augmentation and weight decay and dropout, whose parameters were presumably finely tuned to achieve higher accuracy. The replication of these results corresponds to the middle red bars in Figure 1. We show here that simply removing weight decay and dropout—while even keeping all other hyperparameters intact, see Section 4.1—improves the formerly state-of-the-art accuracy in 4 of the 8 studied cases. + +Second, it can also be observed that the regularization effect of weight decay and dropout, an average improvement of $3 . 0 2 \%$ with respect to the baseline,1 is much smaller than that of data augmentation. Simply applying light augmentation increases the accuracy in $8 . 4 6 \%$ on average. + +Finally, note that even though the heavier augmentation scheme was deliberately not designed to optimize the performance, in both CIFAR-10 and CIFAR-100 it improves the test performance with respect to the light augmentation scheme. This is not the case on ImageNet, probably due to the increased complexity of the data set. It can be observed though that the effects are in general more consistent in the models trained without explicit regularization. In sum, it seems that the performance gain achieved by weight decay and dropout can be achieved and often improved by data augmentation alone. + +# 5.2 FEWER AVAILABLE TRAINING EXAMPLES + +We argue that one of the main drawbacks of explicit regularization techniques is their poor adaptability to changes in the conditions with which the hyperparameters were tuned. To test this hypothesis and contrast it with the adaptability of data augmentation, here we extend the analysis by training the same networks with fewer examples. The models are trained with the same random subset of data and evaluated in the same test set as the previous experiments. In order to better visualize how well each technique resists the reduction of training data, in Figure 2 we show the fraction of baseline accuracy achieved by each model when trained with $50 \%$ and $10 \%$ of the available data. In this case, the baseline is thus each corresponding model trained with the complete data set. Table 2 summarizes the mean and standard deviation of each combination. An extended report of results, including additional experiments with $80 \%$ and $1 \%$ of the data, is provided in the supplementary material. + +Table 2: Average fraction of the original accuracy of each corresponding combination of data augmentation level and presence of weight decay and dropout. + +
50 % of the training data10 % of the training data
No explicit reg.WD + dropoutNo explicit reg.WD + dropout
None88.11 (6.27)83.20 (9.83)58.72 (14.93)58.75 (16.92)
Light91.47 (4.31)88.27 (7.39)67.55 (14.27)60.89 (18.39)
Heavier91.82 (4.63)89.28 (6.63)68.69 (13.61)61.43 (15.90)
+ +![](images/a06cb94477dec2e8e682b5aca1bc93ba6d1cf81a0ee7bfc3577891a82d8f56ac.jpg) +Figure 3: Fraction of the original performance when the depth of the All-CNN architecture is increased or reduced in 3 layers. In the explicitly regularized models, the change of architecture implies a dramatic drop in the performance, while the models trained without explicit regularization present only slight variations with respect to the original architecture. + +One of the main conclusions of this set of experiments is that if no data augmentation is applied, explicit regularization hardly resist the reduction of training data by itself. On average, with $50 \%$ of the available data, these models only achieve $8 3 . 2 0 \%$ of the original accuracy, which, remarkably, is worse than the models trained without any explicit regularization $( 8 8 . 1 1 \% )$ . On $10 \%$ of the data, the average fraction is the same (58.75 and $5 8 . 7 2 \%$ , respectively). This implies that training with explicit regularization is even detrimental for the performance. + +When combined with data augmentation, the models trained with explicit regularization (bottom, red bars) also perform worse (88.78 and $6 1 . 1 6 \%$ with 50 and $10 \%$ of the data, respectively), than the models with just data augmentation (top, purple bars, 91.64 and $6 8 . 1 2 \%$ on average). Note that the difference becomes larger as the amount of available data decreases. Importantly, it seems that the combination of explicit regularization and data augmentation is only slightly better than training without data augmentation. We can think of two reasons that could explain this: first, the original regularization hyperparameters seem to adapt poorly to the new conditions. The hyperparameters are specifically tuned for the original setup and one would have to re-tune them to achieve comparable results. Second, since explicit regularization reduces the representational capacity, this might prevent the models from taking advantage of the augmented data. + +In contrast, the models trained without explicit regularization more naturally adapt to the reduced availability of data. With $50 \%$ of the data, these models, trained with data augmentation achieve about $91 . 5 \%$ of the performance with respect to training with the complete data sets. With only $10 \%$ of the data, they achieve nearly $70 \%$ of the baseline performance, on average. This highlights the suitability of data augmentation to serve, to a great extent, as true, useful data (Vinyals et al., 2016). + +# 5.3 SHALLOWER AND DEEPER ARCHITECTURES + +Finally, in this section we test the adaptability of data augmentation and explicit regularization to changes in the depth of the All-CNN architecture (see Section 4.1). We show the fraction of the performance with respect to the original architecture in Figure 3. + +A noticeable result from Figure 3 is that all the models trained with weight decay and dropout (bottom, red bars) suffer a dramatic drop in performance when the architecture changes, regardless of whether it becomes deeper or shallower and of the amount of data augmentation. As in the case of reduced training data, this may be explained by the poor adaptability of the regularization hyperparameters, which highly depend on the architecture. + +This highly contrasts with the performance of the models trained without explicit regularization (top, purple bars). With a deeper architecture, these models achieve slightly better performance, effectively exploiting the increased capacity. With a shallower architecture, they achieve only slightly worse performance4. Thus, these models seem to more naturally adapt to the new architecture and data augmentation becomes beneficial. + +It is worth commenting on the particular case of the CIFAR-100 benchmark, where the difference between the models with and without explicit regularization is even more pronounced, in general. It is a common practice in object recognition papers to tune the parameters for CIFAR-10 and then test the performance on CIFAR-100 with the same hyperparameters. Therefore, these are typically less suitable for CIFAR-100. We believe this is the reason why the benefits of data augmentation seem even more pronounced on CIFAR-100 in our experiments. + +In sum, these results highlight another crucial advantage of data augmentation: the effectiveness of its hyperparameters, that is the type of image transformations, depend mostly on the type of data, rather than on the particular architecture or amount of available training data, unlike explicit regularization hyperparameters. Therefore, removing explicit regularization and training with data augmentation increases the flexibility of the models. + +# 6 DISCUSSION + +We have presented a systematic analysis of the role of data augmentation in deep convolutional neural networks for object recognition, focusing on the comparison with popular explicit regularization techniques—weight decay and dropout. In order to facilitate the discussion and the analysis, we first proposed in Section 2 definitions of explicit and implicit regularization, which have been ambiguously used in the literature. Accordingly, we have argued that data augmentation should not be considered an explicit regularizer, such as weight decay and dropout. Then, we provided some theoretical insights in Section 3 that highlight some advantages of data augmentation over explicit regularization. Finally, we have empirically shown that explicit regularization is not only unnecessary (Zhang et al., 2017), but also that its generalization gain can be achieved by data augmentation alone. Moreover, we have demonstrated that, unlike data augmentation, weight decay and dropout exhibit poor adaptability to changes in the architecture and the amount of training data. + +Despite the limitations of our empirical study, we have chosen three significantly distinct network architectures and three data sets in order to increase the generality of our conclusions, which should ideally be confirmed by future work on a wider range of models, data sets and even other domains such text or speech. It is important to note, however, that we have taken a conservative approach in our experimentation: all the hyperparameters have been kept as in the original models, which included both weight decay and dropout, as well as light augmentation. This setup is clearly suboptimal for models trained without explicit regularization. Besides, the heavier data augmentation scheme was deliberately not optimized to improve the performance and it was not the scope of this work to propose a specific data augmentation technique. As future work, we plan to propose data augmentation schemes that can more successfully be exploited by any deep model. + +The relevance of our findings lies in the fact that explicit regularization is currently the standard tool to enable the generalization of most machine learning methods and is included in most convolutional neural networks. However, we have empirically shown that simply removing the explicit regularizers often improves the performance or only marginally reduces it, if some data augmentation is applied. These results are supported by the theoretical insights provided in in Section 3. + +Zhang et al. (2017) suggested that regularization might play a different role in deep learning, not fully explained by statistical learning theory (Vapnik & Chervonenkis, 1971). We have argued instead that the theory still naturally holds in deep learning, as long as one considers the crucial role of implicit regularization: explicit regularization seems to be no longer necessary because its contribution is already provided by the many elements that implicitly and successfully regularize the models: to name a few, stochastic gradient descent, convolutional layers and data augmentation. + +# 6.1 RETHINKING DATA AUGMENTATION + +Data augmentation is often regarded by authors of machine learning papers as cheating, something that should not be used in order to test the potential of a newly proposed architecture (Goodfellow et al., 2013; Graham, 2014; Larsson et al., 2016). In contrast, weight decay and dropout are almost ubiquitous and considered intrinsic elements of the algorithms. In view of the results presented here, we believe that the deep learning community would benefit if we rethink data augmentation and switch roles with explicit regularization: a good model should generalize well without the need for explicit regularization and successful methods should effectively exploit data augmentation. + +In this regard it is worth highlighting some of the advantages of data augmentation: Not only does it not reduce the representational capacity of the model, unlike explicit regularization, but also, since the transformations reflect plausible variations of the real objects, it increases the robustness of the model and it can be seen as a data-dependent prior, similarly to unsupervised pre-training (Erhan et al., 2010). Novak et al. (2018) have shown that data augmentation consistently yields models with smaller sensitivity to perturbations. Interestingly, recent work has found that models trained with heavier data augmentation learn representations that are more similar to the inferior temporal (IT) cortex, highlighting the biological plausibility of data augmentation (Hernández-García et al., 2018). + +Deep neural networks are especially well suited for data augmentation because they do not rely on pre-computed features and because the large number of parameters allows them to shatter the augmented training set. Moreover, unlike explicit regularization, data augmentation can be performed on the CPU, in parallel to the gradient updates. Finally, an important conclusion from Sections 5.2 and 5.3 is that data augmentation naturally adapts to architectures of different depth and amounts of available training data, whereas explicitly regularized models are highly sensitive to such changes and need specific fine-tuning of their hyperparameters. In sum, data augmentation seems to be a strong alternative to explicit regularization techniques. + +Some argue that despite these advantages, data augmentation is a limited approach because it depends on some prior expert knowledge and it cannot be applied to all domains. However, we argue instead that expert knowledge should not be disregarded but exploited. A single data augmentation scheme can be designed for a broad family of data (for example, natural images) and effectively applied to a broad set of tasks (for example, object recognition, segmentation, localization, etc.). Besides, interesting recent works have shown that it is possible to automatically learn the data augmentation strategies (Lemley et al., 2017; Ratner et al., 2017). 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Understanding deep learning requires rethinking generalization. In International Conference on Learning Representations, ICLR, arXiv:1611.03530, 2017. + +# A DETAILS OF NETWORK ARCHITECTURES + +This appendix presents the details of the network architectures used in the main experiments: AllCNN, Wide Residual Network (WRN) and DenseNet. All-CNN is a relatively simple, small network with a few number of layers and parameters, WRN is deeper, has residual connections and many more parameters and DenseNet is densely connected and is much deeper, but parameter effective. + +# A.1 ALL CONVOLUTIONAL NETWORK + +All-CNN consists exclusively of convolutional layers with ReLU activation (Glorot et al., 2011), it is relatively shallow and has few parameters. For ImageNet, the network has 16 layers and 9.4 million parameters; for CIFAR, it has 12 layers and about 1.3 million parameters. In our experiments to compare the adaptability of data augmentation and explicit regularization to changes in the architecture, we also test a shallower version, with 9 layers and 374,000 parameters, and a deeper version, with 15 layers and 2.4 million parameters. The four architectures can be described as in Table 3, where $K \mathbf { C } D ( S )$ is a $D \times D$ convolutional layer with $K$ channels and stride $S$ , followed by batch normalization and a ReLU non-linearity. $N . C l .$ is the number of classes and Gl.Avg. refers to global average pooling. The CIFAR network is identical to the All-CNN-C architecture in the original paper, except for the introduction of the batch normalization layers. The ImageNet version also includes batch normalization layers and a stride of 2 instead of 4 in the first layer to compensate for the reduced input size (see below). + +ImageNet 96C11(2)–96C1(1)–96C3(2)–256C5(1) –256C1(1)–256C3(2)–384C3(1) –384C1(1)–384C3(2)–1024C3(1) –1024C1(1)–N.Cl.C1(1) –Gl.Avg.–Softmax +CIFAR 2×96C3(1)–96C3(2)–2×192C3(1) –192C3(2)–192C3(1)–192C1(1) –N.Cl.C1(1)–Gl.Avg.–Softmax +Shallower 2×96C3(1)–96C3(2)–192C3(1) –192C1(1)–N.Cl.C1(1)–Gl.Avg.–Softmax +Deeper $2 \times 9 6 \mathbf { C } 3 ( 1 ) { - } 9 6 \mathbf { C } 3 ( 2 ) { - } 2 { \times } 1 9 2 \mathbf { C } 3 ( 1 )$ ) $- 1 9 2 \mathbf { C } 3 ( 2 ) - 2 \times 1 9 2 \mathbf { C } 3 ( 1 ) - 1 9 2 \mathbf { C } 3 ( 2 )$ –192C3(1)–192C1(1) –N.Cl.C1(1)–Gl.Avg.–Softmax + +Importantly, we keep the same training parameters as in the original paper in the cases they are reported. Specifically, the All-CNN networks are trained using stochastic gradient descent, with fixed Nesterov momentum 0.9, learning rate of 0.01 and decay factor of 0.1. The batch size for the experiments on ImageNet is 64 and we train during 25 epochs decaying the learning rate at epochs 10 and 20. On CIFAR, the batch size is 128, we train for 350 epochs and decay the learning rate at epochs 200, 250 and 300. The kernel parameters are initialized according to the Xavier uniform initialization (Glorot & Bengio, 2010). + +# A.2 WIDE RESIDUAL NETWORK + +WRN is a modification of ResNet (He et al., 2016) that achieves better performance with fewer layers, but more units per layer. Here we choose for our experiments the WRN-28-10 version (28 layers and about $3 6 . 5 \mathrm { ~ M ~ }$ parameters), which is reported to achieve the best results on CIFAR. It has the following architecture: + +where $K \mathbf { \mathbf { \mathbf { k } } }$ is a residual block with residual function BN–ReLU–KC3(1)–BN–ReLU–KC 3(1). BN is batch normalization, Avg.(8) is spatial average pooling of size 8 and FC is a fully connected layer. On ImageNet, the stride of the first convolution is 2. The stride of the first convolution within the residual blocks is 1 except in the first block of the series of 4, where it is set to 2 in order to subsample the feature maps. + +Similarly, we keep the training parameters of the original paper: we train with SGD, with fixed Nesterov momentum 0.9 and learning rate of 0.1. On ImageNet, the learning rate is decayed by 0.2 at epochs 8 and 15 and we train for a total of 20 epochs with batch size 32. On CIFAR, we train with a batch size of 128 during 200 epochs and decay the learning rate at epochs 60, 120 and 160. The kernel parameters are initialized according to the He normal initialization (He et al., 2015). + +# A.3 DENSENET + +The main characteristic of DenseNet (Huang et al., 2017) is that the architecture is arranged into blocks whose layers are connected to all the layers below, forming a dense graph of connections, which permits training very deep architectures with fewer parameters than, for instance, ResNet. Here, we use a network with bottleneck compression rate $\theta = 0 . 5$ (DenseNet-BC), growth rate $k = 1 2$ and 16 layers in each of the three blocks. The model has nearly 0.8 million parameters. The specific architecture can be descried as follows: + +where $\mathrm { D B } ( c )$ is a dense block, that is a concatenation of $c$ convolutional blocks. Each convolutional block is of a set of layers whose output is concatenated with the input to form the input of the next convolutional block. A convolutional block with bottleneck structure has the following layers: + +TB is a transition block, which downsamples the size of the feature maps, formed by the following layers: + +Like with All-CNN and WRN, we keep the training hyper-parameters of the original paper. On the CIFAR data sets, we train with SGD, with fixed Nesterov momentum 0.9 and learning rate of 0.1, decayed by 0.1 on epochs 150 and 200 and training for a total of 300 epochs. The batch size is 64 and the are initialized with He initialization. + +# B DETAILS OF THE HEAVIER DATA AUGMENTATION SCHEME + +In this appendix we present the details of the heavier data augmentation scheme, introduced in Section 3.2: + +• Affine transformations: $\left[ \begin{array} { c } { x ^ { \prime } } \\ { y ^ { \prime } } \\ { 1 } \end{array} \right] = \left[ \begin{array} { c c c } { f _ { h } z _ { x } \cos ( \theta ) } & { - z _ { y } \sin ( \theta + \phi ) } & { t _ { x } } \\ { z _ { x } \sin ( \theta ) } & { z _ { y } \cos ( \theta + \phi ) } & { t _ { y } } \\ { 0 } & { 0 } & { 1 } \end{array} \right] \left[ \begin{array} { c } { x } \\ { y } \\ { 1 } \end{array} \right]$ • Contrast adjustment: $x ^ { \prime } = \gamma ( x - \overline { { x } } ) + \overline { { x } }$ • Brightness adjustment: $x ^ { \prime } = x + \delta$ + +# C DETAILED AND EXTENDED EXPERIMENTAL RESULTS + +This appendix details the results of the main experiments shown in Figures 1, 2 and 3 and provides the results of many other experiments not presented above in order not to clutter the visualization. Some of these results are the top-1 accuracy on ImageNet, the results of the models trained with dropout, but without weight decay; and the results of training with $80 \%$ and $1 \%$ of the data. + +Table 4: Description and range of possible values of the parameters used for the heavier augmentation. $B ( p )$ denotes a Bernoulli distribution and $\textstyle { \mathcal { U } } ( a , b )$ a uniform distribution. + +
ParameterDescriptionRange
fhHoriz. flip1- 2B(0.5)
txHoriz. translationu(-0.1,0.1)
tyVert. translationu(-0.1,0.1)
2xHoriz. scaleU(0.85,1.15)
ZyVert. scaleU(0.85,1.15)
0Rotation angleU(-22.5°,22.5°)
?Shear angleu(-0.15,0.15)
Contrast(0.5,1.5)
8BrightnessU(-0.25,0.25)
+ +Additionally, for many experiments we also train a version of the network without batch normalization. These results are provided within brackets in the tables. Note that the original All-CNN results published by Springenberg et al. (2014) did not include batch normalization. In the case of WRN, we remove all batch normalization layers except the top-most one, before the spatial average pooling, since otherwise many models would not converge. + +Table 5: Test accuracy of All-CNN and WRN, comparing the performance with and without explicit regularizers and the different augmentation schemes. Results within brackets show the performance of the models without batch normalization + +
NetworkWDDropoutAug.CIFAR-10CIFAR-100Acc. ImageNet
All-CNNyesyesno90.04 (88.35)66.50 (60.54)58.09
yesyeslight93.26 (91.97)70.85 (65.57)63.35
yesyesheavier93.08 (92.44)70.59 (68.62)60.15
noyesno77.99 (87.59)52.39 (60.96)
noyeslight77.20 (92.01)69.71 (68.01)
noyesheavier88.29 (92.18)70.56 (68.40)
nonono84.53 (71.98)57.99 (39.03)56.53
nonolight93.26 (90.10)69.26 (63.00)63.79
WRNnonoheavier93.55 (91.48)71.25 (71.46)61.37
yesyesno91.44 (89.30)71.67 (67.42)54.67
yesyeslight95.01 ( 1(93.48)77.58 (74.23)68.84
yesyesheavier95.60 (94.38)76.96 (74.79)66.82
noyesno91.47 (89.38)71.31 (66.85)
noyeslight94.76 (93.52)77.42 (74.62)
noyesheavier95.58 (94.52)77.47 (73.96)
nonono89.56 (85.45)68.16 (59.90)61.29
nonolight94.71 (93.69)77.08 (75.27)69.80
nonoheavier95.47 (94.95)77.30 (75.69)69.30
+ +An important observation from Table 5 is that the interaction of weight decay and dropout is not always consistent, since in some cases better results can be obtained with both explicit regularizers active and in other cases, only dropout achieves better generalization. In contrast, the effect of data augmentation seems to be consistent: just some light augmentation achieves much better results than training only with the original data set and performing heavier augmentation almost always further improves the test accuracy, without the need for explicit regularization. + +Not surprisingly, batch normalization also contributes to improve the generalization of All-CNN and it seems to combine well with data augmentation. On the contrary, when combined with explicit regularization the results are interestingly not consistent in the case of All-CNN: it seems to improve the generalization of the model trained with both weight decay and dropout, but it drastically reduces the performance with only dropout, in the case of CIFAR-10 and CIFAR-100 without augmentation. + +A probable explanation is, again, that the regularization hyperparameters would need to be readjusted with a change of the architecture. + +Furthermore, it seems that the gap between the performance of the models trained with and without batch normalization is smaller when they are trained without explicit regularization and when they include heavier data augmentation. This can be observed in Table 5, as well as in Table 6, which contains the results of the models trained with fewer examples. It is important to note as well the benefits of batch normalization for obtaining better results when training with fewer examples. However, it is surprising that there is only a small drop in the performance of WRN— $9 5 . 4 7 ~ \%$ to $9 4 . 9 5 \%$ without regularization— from removing the batch normalization layers of the residual blocks, given that they were identified as key components of ResNet (He et al., 2016; Zagoruyko & Komodakis, 2016). + +Table 6: Test accuracy of All-CNN and WRN when training with only $80 \%$ , $50 \%$ , $10 \%$ and $1 \%$ of the available examples. Results within brackets correspond to the models without batch normalization + +
Pct. Data Expl. Reg.Aug. schemeTest CIFAR-10Test CIFAR-100
80 %All-CNNWRNAll-CNNWRN
yesno89.41 (86.61)90.2763.93 (52.51)70.41
yeslight92.20 (91.25)94.0767.63 (63.24)75.66
yesheavier92.83 (91.42)94.5768.01 (65.89)75.51
nono83.04 (75.00)88.9855.78 (35.95)66.10
nolight92.25 (88.75)93.9769.05 (56.81)75.07
noheavier92.80 (90.55)94.8469.40 (63.57)75.38
50 %yesno85.88 (82.33)86.9658.24 (44.94)63.60
yeslight90.30 (87.37)92.6561.03 (54.68)70.83
yesheavier90.09 (88.94)92.8663.25 (57.91)70.33
nono78.61 (69.46)85.5648.62 (31.81)60.64
nolight90.21 (84.38)91.8762.83 (47.84)69.97
noheavier90.76 (87.44)92.7764.41 ( (55.27)70.72
10 %yesno67.19 (61.61)70.7333.77 (19.79)34.11
yeslight76.03 (69.18)76.0038.51 (22.79)36.65
yesheavier78.69 (64.14)78.1038.34 (26.29)38.93
nono60.97 (41.07)60.3926.05 (17.55)23.65
nolight78.29 (67.65)79.1937.84 (24.34)39.24
noheavier79.87 (70.64)80.2939.85 (26.31)41.44
1%yesno
yes27.53 (29.90)33.459.16 (3.60)7.47
yeslight heavier37.18 (26.85)34.13 41.029.64 (3.65) 9.14 (2.52)7.50 8.37
nono42.73 (26.87) 38.89 (35.68)38.639.50 (5.51)9.47
nolight44.35 (29.29)43.849.87 (5.36)9.91
noheavier47.60 (33.72)47.1411.45 (3.57)11.03
+ +The results in Table 6 clearly support the conclusion presented in Section 4.2: data augmentation alone better resists the lack of training data compared to explicit regularizers. Already with $80 \%$ and $50 \%$ of the data better results are obtained in some cases, but the differences become much bigger when training with only $10 \%$ and $1 \%$ of the available data. It seems that explicit regularization prevents the model from both fitting the data and generalizing well, whereas data augmentation provides useful transformed examples. Interestingly, with only $1 \%$ of the data, even without data augmentation the models without explicit regularization perform better. + +The same effect can be observed in Table 7, where both the shallower and deeper versions of AllCNN perform much worse when trained with explicit regularization, even when trained without data augmentation. This is another piece of evidence that explicit regularization needs to be used very carefully, it requires a proper tuning of the hyperparameters and is not always beneficial. + +Table 7: Test accuracy of the shallower and deeper versions of All-CNN on CIFAR-10 and CIFAR-100. Results in parentheses show the difference with respect to the original model. + +
Expl. Reg.Aug.Test CIFAR-10Test CIFAR-100
ShallowerDeeperShallowerDeeper
yesno76.45 (-13.59)86.26 (-3.78)51.31 (-9.23)49.06 (-11.48)
yeslight82.02 (-11.24)85.04 (-8.22)56.81 (-8.76)52.03 (-13.54)
yesheavier86.66 (-6.42)88.46 (-4.62)58.64 (-9.98)51.78 (-16.84)
nono85.22 (+0.69)83.30 (-1.23)58.95 (+0.96)54.22 (-3.77)
nolight90.02 (-3.24)93.46 (+0.20)65.51 (-3.75)72.16 (+2.90)
noheavier90.34 (-3.21)94.19 (+0.64)65.87 (-5.38)73.30 (+2.35)
+ +# D NORM OF THE WEIGHT MATRIX + +In this appendix we provide the computations of the Frobenius norm of the weight matrices of the models trained with different levels of explicit regularization and data augmentation, as a rough estimation of the complexity of the learned models. Table 8 shows the Frobenius norm of the weight matrices of the models trained with different levels of explicit regularization and data augmentation. The clearest conclusion is that heavier data augmentation seems to yield solutions with larger norm. This is always true except in some All-CNN models trained without batch normalization. Another observation is that, as expected, weight decay constrains the norm of the learned function. Besides, the models trained without batch normalization exhibit smaller differences between different levels of regularization and augmentation and, in the case of All-CNN, less consistency. + +Table 8: Frobenius norm of the weight matrices learned by the networks All-CNN and WRN on CIFAR-10 and CIFAR-100, trained with and without explicit regularizers and the different augmentation schemes. Norms within brackets correspond to the models without batch normalization + +
WDDropoutAug.Norm CIFAR-10Norm CIFAR-100
All-CNNWRNAll-CNNWRN
yesyesno48.7 (64.9)101.4 (122.6)76.5 (97.9)134.8 (126.5)
yesyeslight52.7 (63.2)106.1 (123.9)77.6 (86.8)140.8 (129.3)
yesyesheavier57.6 (62.8)119.3 (125.3)78.1 (83.1)164.2 (132.5)
noyesno52.4 (70.5)153.3 (122.5)79.7 (103.3)185.1 (126.5)
noyeslight57.0 (67.9)160.6 (123.9)83.6 (93.0)199.0 (129.4)
noyesheavier62.8 (67.5)175.1 (125.2)84.0 (88.0)225.4 (132.5)
nonono37.3 (63.7)139.0 (120.4)47.6 (102.7)157.9 (122.0)
nonolight47.0 (69.5)153.6 (123.2)80.0 (108.9)187.0 (127.2)
nonoheavier62.0 (71.7)170.4 (125.4)91.7 (91.7)217.6 (132.9)
+ +One of the relevant results presented in this paper is the poor performance of the regularized models on the shallower and deeper versions of All-CNN, compared to the models without explicit regularization (see Table 7). One hypothesis is that the amount of regularization is not properly adjusted through the hyperparameters. This could be reflected in the norm of the learned weights, shown in Table 9. However, the norm alone does not seem to fully explain the large performance differences between the different models. Finding the exact reasons why the regularized models not able to generalize well might require a much thorough analysis and we leave it as future work. + +# E ON THE TAXONOMY OF REGULARIZATION + +Although it is out of the scope of this paper to elaborated on the taxonomy of regularization techniques for deep neural networks, an important contribution of this work is providing definitions of explicit and implicit regularization, which have been used ambiguously in the literature before. It is therefore worth mentioning here some of the previous works that have used these terms and to point to literature that has specifically elaborated on the regularization taxonomy or proposed other related terms. + +Table 9: Frobenius norm of the weight matrices learned by the shallower and deeper versions of the All-CNN network on CIFAR-10 and CIFAR-100. + +
Explicit Reg.Aug. s .schemeNorm CIFAR-10Norm CIFAR-100
ShallowerDeeperShallowerDeeper
yesno47.962.368.992.1
yeslight49.766.567.195.7
yesheavier51.971.566.296.9
nono34.845.464.753.4
nolight45.657.368.877.3
noheavier53.170.768.397.5
+ +Neyshabur et al. (2014) observed that the size of neural networks could not explain and control by itself the effective capacity of neural networks and proposed that other elements should implicitly regularize the models. However, no definitions or clear distinction between explicit and implicit regularization was provided. Later, Zhang et al. (2017) compared different regularization techniques and mentioned the role of implicit regularization, but did not provide definitions either, and, importantly, they considered data augmentation an explicit form of regularization. We have argued against that view throughout this paper, especially in Sections 2 and 6.1. + +An extensive review of the taxonomy of regularization techniques was carried out by Kukacka et al. ˇ (2017). Although no distinction is made between explicit and implicit regularization, they define the class regularization via optimization, which is somehow related to implicit regularization. However, regularization via optimization is more specific than our definition and data augmentation, among others, would not fall into that category. + +Recently, Guo et al. (2018) provided a distinction between data-independent and data-dependent regularization. They define data-independent regularization as those techniques that impose certain constraint on the hypothesis set, thus constraining the optimization problem. Examples are weight decay and dropout. We believe this is closely related to our definition of explicit regularization. Then, they define data-dependent regularization as those techniques that make assumptions on the hypothesis set with respect to the training data, as is the case of data augmentation. + +While we acknowledge the usefulness of such taxonomy, we believe the division between dataindependent and dependent regularization leaves some ambiguity about other techniques, such as batch-normalization, which neither imposes an explicit constraint on H nor on the training data. The taxonomy of explicit vs. implicit regularization is however complete, since implicit regularization refers to any regularization effect that does not come from explicit (or data-independent) techniques. + +Finally, we argue it would be useful to distinguish between domain-specific, perceptually-motivated data augmentation and other kinds of data-dependent regularization. Data augmentation ultimately aims at creating new examples that could be plausible transformations of the real-world objects. In other words, the augmented samples should be no different in nature than the available data. In statistical terms, they should belong to the same underlying probability distribution. In contrast, one can think of data manipulations that would not mimic any plausible transformation of the data, which still can improve generalization and thus fall into the category of data-dependent regularization (and implicit regularization). One example is mixup, which is the subject of study of Guo et al. (2018). \ No newline at end of file diff --git a/parse/train/H1eqOnNYDH/H1eqOnNYDH_content_list.json b/parse/train/H1eqOnNYDH/H1eqOnNYDH_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..c62bd4b61bc889ac432bb6c257dd043f1a4878fe --- /dev/null +++ b/parse/train/H1eqOnNYDH/H1eqOnNYDH_content_list.json @@ -0,0 +1,2140 @@ +[ + { + "type": "text", + "text": "DATA AUGMENTATION INSTEAD OFEXPLICIT REGULARIZATION", + "text_level": 1, + "bbox": [ + 174, + 101, + 593, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 170, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Modern deep artificial neural networks have achieved impressive results through models with orders of magnitude more parameters than training examples which control overfitting with the help of regularization. Regularization can be implicit, as is the case of stochastic gradient descent and parameter sharing in convolutional layers, or explicit. Explicit regularization techniques, most common forms are weight decay and dropout, have proven successful in terms of improved generalization, but they introduce sensitive hyper-parameters and, incongruously, often require deeper and wider architectures to compensate for the reduced capacity. In contrast, data augmentation techniques exploit domain knowledge to increase the number of training examples and improve generalization without reducing the representational capacity and without introducing model-dependent parameters, since it is applied on the training data. In this paper we systematically contrast data augmentation and explicit regularization on three popular architectures and three image object classification data sets. Our results demonstrate that data augmentation alone can achieve the same performance or higher as regularized models and exhibits much higher adaptability to changes in the architecture and the amount of training data. ", + "bbox": [ + 233, + 266, + 766, + 489 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 516, + 334, + 532 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "One of the central issues in machine learning research and application is finding ways of improving generalization. Regularization, loosely defined as any modification applied to a learning algorithm that helps prevent overfitting, plays therefore a key role in machine learning (Girosi et al., 1995; Müller, 2012). In the case of deep learning, where neural networks tend to have several orders of magnitude more parameters than training examples, statistical learning theory (Vapnik & Chervonenkis, 1971) indicates that regularization becomes even more crucial. Accordingly, a myriad of techniques have been proposed as regularizers: weight decay (Hanson & Pratt, 1989) and other $L ^ { p }$ penalties; dropout (Srivastava et al., 2014) and stochastic depth (Huang et al., 2016), to name a few examples. Moreover, whereas in simpler machine learning algorithms the regularizers can be easily identified as explicit terms in the objective function, in modern deep neural networks the sources of regularization are not only explicit, but implicit (Neyshabur et al., 2014). In this regard, many techniques have been studied for their regularization effect, despite not being explicitly intended as such. That is the case of unsupervised pre-training (Erhan et al., 2010), multi-task learning (Caruana, 1998), convolutional layers (LeCun et al., 1990), batch normalization (Ioffe & Szegedy, 2015) or adversarial training (Szegedy et al., 2013). In sum, there are multiple elements in deep learning that contribute to reduce overfitting and thus improve generalization. ", + "bbox": [ + 174, + 547, + 825, + 770 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Driven by the success of such techniques and the efficient use of GPUs, considerable research effort has been devoted to finding ways of training deeper and wider networks with larger capacity (Simonyan & Zisserman, 2014; He et al., 2016; Zagoruyko & Komodakis, 2016). Ironically, the increased representational capacity is eventually reduced in practice by the use of explicit regularization, most commonly weight decay and dropout. It is known, for instance, that the gain in generalization provided by dropout comes at the cost of using larger models and training for longer (Goodfellow et al., 2016). Hence, it seems that with these standard regularization methods deep networks are wasting capacity (Dauphin & Bengio, 2013). ", + "bbox": [ + 174, + 777, + 825, + 888 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Unlike explicit regularization, data augmentation improves generalization without reducing the capacity of the model. Data augmentation, that is synthetically expanding a data set by applying transformations on the available examples, has been long used in machine learning (Simard et al., 1992) and identified as a critical component of many recent successful models, like AlexNet (Krizhevsky et al., 2012), All-CNN (Springenberg et al., 2014) or ResNet (He et al., 2016), among others. Although it is most popular in computer vision, data augmentation has also proven effective in speech recognition (Jaitly & Hinton, 2013), music source separation (Uhlich et al., 2017) or text categorization (Lu et al., 2006). Today, data augmentation is an almost ubiquitous technique in deep learning, which can also be regarded as an implicit regularizer for it improves generalization. ", + "bbox": [ + 176, + 896, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 202 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Recently, the deep learning community has become more aware of the importance of data augmentation (Hernández-García & König, 2018b) and new techniques, such as cutout (DeVries & Taylor, 2017a) or augmentation in the feature space (DeVries & Taylor, 2017b), have been proposed. Very interestingly, a promising avenue for future research has been set by recently proposed models that automatically learn the data transformations (Hauberg et al., 2016; Lemley et al., 2017; Ratner et al., 2017; Antoniou et al., 2017). Nonetheless, another study by Perez & Wang (2017) analyzed the performance of different techniques for object recognition and concluded that one of the most successful techniques so far is still the traditional data augmentation carried out in most studies. ", + "bbox": [ + 174, + 208, + 825, + 319 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "However, despite its popularity, the literature lacks, to our knowledge, a systematic analysis of the impact of data augmentation on convolutional neural networks compared to explicit regularization. It is a common practice to train the models with both explicit regularization, typically weight decay and dropout, and data augmentation, assuming they all complement each other. Zhang et al. (2017) included data augmentation in their analysis of generalization of deep networks, but it was questionably considered an explicit regularizer similar to weight decay and dropout. To our knowledge, the first time data augmentation and explicit regularization were systematically contrasted was the preliminary study by Hernández-García & König (2018b). The present work aims at largely extending that work both with more empirical results and a theoretical discussion. ", + "bbox": [ + 174, + 325, + 825, + 452 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our specific contributions are the following: ", + "bbox": [ + 174, + 458, + 464, + 472 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• Propose definitions of explicit and implicit regularization that aim at solving the ambiguity in the literature (Section 2). \n• A theoretical discussion based on statistical learning theory about the differences between explicit regularization and data augmentation, highlighting the advantages of the latter (Section 3). \n• An empirical analysis of the performance of models trained with and without explicit regularization, and different levels of data augmentation on several benchmarks (Sections 4 and 5). Further, we study their adaptability to learning from fewer examples (Section 5.2) and to changes in the architecture (Section 5.3). \n• A discussion on why encouraging data augmentation instead of explicit regularization can benefit both theory and practice in deep learning (Section 6). ", + "bbox": [ + 217, + 483, + 825, + 648 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 EXPLICIT AND IMPLICIT REGULARIZATION ", + "text_level": 1, + "bbox": [ + 174, + 669, + 565, + 684 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Zhang et al. (2017) raised the thought-provoking idea that “explicit regularization may improve generalization performance, but is neither necessary nor by itself sufficient for controlling generalization error.” The authors came to this conclusion from the observation that turning off the explicit regularizers of a model does not prevent the model from generalizing reasonably well. This contrasts with traditional machine learning involving convex optimization, where regularization is necessary to avoid overfitting and generalize (Vapnik & Chervonenkis, 1971). Such observation led the authors to suggest the need for “rethinking generalization” in order to understand deep learning. ", + "bbox": [ + 174, + 699, + 825, + 797 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We argue it is not necessary to rethink generalization if we instead rethink regularization and, in particular, data augmentation. Despite their thorough analysis and relevant conclusions, Zhang et al. (2017) arguably underestimated the role of implicit regularization and considered data augmentation an explicit form of regularization much like weight decay and dropout. This illustrates that the terms explicit and implicit regularization have been used subjectively and inconsistently in the literature before. In order to avoid the ambiguity and facilitate the discussion, we propose the following definitions of explicit and implicit regularization1: ", + "bbox": [ + 174, + 803, + 825, + 901 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• Explicit regularization techniques are those which reduce the representational capacity of the model they are applied on. That is, given a model class $\\mathcal { H } _ { 0 }$ , for instance a neural network architecture, the introduction of explicit regularization will span a new hypothesis set $\\mathcal { H } _ { 1 }$ , which is a proper subset of the original set, i.e. $\\mathcal { H } _ { 1 } \\subsetneq \\mathcal { H } _ { 0 }$ . ", + "bbox": [ + 218, + 103, + 823, + 160 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "• Implicit regularization is the reduction of the generalization error or overfitting provided by means other than explicit regularization techniques. Elements that provide implicit regularization do not reduce the representational capacity, but may affect the effective capacity of the model, that is the achievable set of hypotheses given the model, the optimization algorithm, hyperparameters, etc. ", + "bbox": [ + 217, + 165, + 825, + 236 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "One of the most common explicit regularization techniques in machine learning is $L ^ { p }$ -norm regularization, of which weight decay is a particular case, widely used in deep learning. Weight decay sets a penalty on the $L ^ { 2 }$ norm of the learnable parameters, thus constraining the representational capacity of the model. Dropout is another common example of explicit regularization, where the hypothesis set is reduced by stochastically deactivating a number of neurons during training. Similar to dropout, stochastic depth, which drops whole layers instead of neurons, is also an explicit regularization technique. ", + "bbox": [ + 174, + 247, + 825, + 345 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "There are multiple elements in deep neural networks that implicitly regularize the models. Note, in this regard, that the above definition, contrary to explicit regularization, does not refer to techniques, but to a regularization effect, as it can be provided by elements of very different nature. For instance, stochastic gradient descent (SGD) is known to have an implicit regularization effect without constraining the representational capacity. Batch normalization does not either reduce the capacity, but it improves generalization by smoothing the optimization landscape Santurkar et al. (2018). Of quite a different nature, but still implicit, is the regularization effect provided by early stopping, which does not reduce the representational, but the effective capacity. ", + "bbox": [ + 173, + 352, + 826, + 464 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "By analyzing the literature, we identified some previous pieces of work which, lacking a definition of explicit and implicit regularization, made a distinction apparently based on the mere intention of the practitioner. Under such notion, data augmentation has been considered in some cases an explicit regularization technique, as in Zhang et al. (2017). Here, we have provided definitions for explicit and implicit regularization based on their effect on the representational capacity and argue that data augmentation is not explicit, but implicit regularization, since it does not affect the representational capacity of the model. ", + "bbox": [ + 174, + 470, + 825, + 569 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 THEORETICAL INSIGHTS", + "text_level": 1, + "bbox": [ + 176, + 590, + 411, + 607 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The generalization of a model class $\\mathcal { H }$ can be analyzed through complexity measures such as the VC-dimension or, more generally, the Rademacher complexity $\\mathcal { \\bar { R } } _ { n } ( \\mathcal { H } ) = \\mathbb { E } _ { S \\sim D ^ { n } } \\left[ \\hat { \\mathcal { R } } _ { S } ( \\mathcal { H } ) \\right]$ , where: ", + "bbox": [ + 173, + 622, + 826, + 660 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/7578045a980782ad9f29961cba362ab045056240007968ac6181d2365ae099e9.jpg", + "text": "$$\n\\hat { \\mathcal { R } } _ { S } ( \\mathcal { H } ) = \\mathbb { E } _ { \\sigma } \\left[ \\operatorname* { s u p } _ { h \\in \\mathcal { H } } \\left| \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\sigma _ { i } h ( x _ { i } ) \\right| \\right]\n$$", + "text_format": "latex", + "bbox": [ + 372, + 674, + 624, + 718 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "is the empirical Rademacher complexity, defined with respect to a set of data samples $S = ( x _ { i } , . . . , x _ { n } )$ . Then, in the case of binary classification and the class of linear separators, the generalization error of a hypothesis, $\\hat { \\epsilon } _ { S } ( h )$ , can be bounded using the Rademacher complexity: ", + "bbox": [ + 174, + 731, + 826, + 773 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d0d3146bbd8b6cc3be4f15483c3a5cd786645605109578e9be0b5ad699cbcae1.jpg", + "text": "$$\n\\hat { \\epsilon } _ { S } ( h ) \\leq \\mathcal { R } _ { n } ( \\mathcal { H } ) + \\mathcal { O } \\left( \\sqrt { \\frac { \\ln ^ { 1 } / \\delta } { n } } \\right)\n$$", + "text_format": "latex", + "bbox": [ + 383, + 791, + 612, + 834 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "with probability $1 - \\delta$ . Tighter bounds for some model classes, such as fully connected neural networks, can be obtained (Bartlett $\\&$ Mendelson, 2002), but it is not trivial to formally analyze the influence on generalization of specific architectures or techniques. ", + "bbox": [ + 174, + 845, + 825, + 888 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Nonetheless, we can use these theoretical insights to discuss the differences between explicit regularization—particularly weight decay and dropout—and implicit regularization—particularly data augmentation. A straightforward yet very relevant conclusion from the analysis of any generalization bound is the strong dependence on the number of training examples $n$ . Increasing $n$ drastically improves the generalization guarantees, as reflected by the second term in RHS of Equation 1 and the dependence of the Rademacher complexity (LHS) on the sample size as well. Data augmentation exploits prior knowledge of the data domain $D$ to create new examples and its impact on generalization is related to an increment in $n$ , since stochastic data augmentation can generate virtually infinite different samples. Admittedly, the augmented samples are not independent and identically distributed and thus, the effective increment of samples does not strictly correspond to the increment in $n$ . This is why formally analyzing the impact of data augmentation on generalization is complex and out of the scope of this paper. Recently, some studies have taken steps in this direction by analyzing the effect of simplified data transformations on generalization from a theoretical point of view Chen et al. (2019); Rajput et al. (2019). ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 270 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In contrast, explicit regularization methods aim, in general, at improving the generalization error by constraining the hypothesis class $\\mathcal { H }$ , which hopefully should reduce its complexity, $\\textstyle { \\mathcal { R } } _ { n } ( { \\mathcal { H } } )$ , and, in turn, the generalization error $\\hat { \\epsilon } _ { S } ( h )$ . Crucially, while data augmentation exploits domain knowledge, most explicit regularization methods only naively constrain the hypothesis class. For instance, weight decay constrains the learnable models $\\mathcal { H }$ by setting a penalty on the weights norm. However, Bartlett et al. (2017) have recently shown that weight decay has little impact on the generalization bounds and confidence margins. ", + "bbox": [ + 174, + 277, + 825, + 375 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Dropout has been extensively used and studied as a regularization method for neural networks (Wager et al., 2013), but the exact way in which dropout may improve generalization is still an open question and it has been concluded that the effects of dropout on neural networks are somewhat mysterious, complicated and its penalty highly non-convex (Helmbold & Long, 2017). Recently, Mou et al. (2018) have established new generalization bounds on the variance induced by a particular type of dropout on feedforward neural network. Nevertheless, dropout can also be analyzed as a random form of data augmentation without domain knowledge Bouthillier et al. (2015), that is data-dependent regularization. Therefore, any generalization bound derived for dropout can be regarded as a pessimistic bound for domain-specific, standard data augmentation. ", + "bbox": [ + 174, + 382, + 825, + 507 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "A similar argument applies for weight decay, which, as first shown by Bishop (1995), is equivalent to training with noisy examples if the noise amplitude is small and the objective is the sum-of-squares error function. In sum, many forms of explicit regularization are at least approximately equivalent to adding random noise to the training examples, which is the simplest form of data augmentation2. Thus, it is reasonable to argue that more sophisticated data augmentation can overshadow the benefits provided by explicit regularization. ", + "bbox": [ + 174, + 513, + 825, + 597 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In general, we argue that the reason why explicit regularization may not be necessary is that neural networks are already implicitly regularized by many elements—stochastic gradient descent (SGD), convolutional layers, normalization and data augmentation, to name a few—that provide a more successful inductive bias (Neyshabur et al., 2014). For instance, it has been shown that linear models optimized with SGD converge to solutions with small norm, without any explicit regularization (Zhang et al., 2017). In the remainder of the paper, we present a set of experiments that shed more light on the advantages of data augmentation over weight decay and dropout. ", + "bbox": [ + 174, + 604, + 825, + 702 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 METHODS ", + "text_level": 1, + "bbox": [ + 174, + 723, + 290, + 739 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "This section describes the experimental setup for systematically analyzing the role of data augmentation in deep neural networks compared to weight decay and dropout and builds upon the methods used in preliminary studies (Hernández-García & König, 2018a;b; Zhang et al., 2017). ", + "bbox": [ + 174, + 757, + 825, + 797 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.1 NETWORK ARCHITECTURES ", + "text_level": 1, + "bbox": [ + 176, + 818, + 411, + 830 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We perform our experiments on three distinct, popular architectures that have achieved successful results in object recognition tasks: the all convolutional network, All-CNN (Springenberg et al., ", + "bbox": [ + 176, + 843, + 825, + 872 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2014); the wide residual network, WRN (Zagoruyko & Komodakis, 2016); and the densely connected network, DenseNet (Huang et al., 2017). Importantly, we keep the same training hyper-parameters (learning rate, training epochs, batch size, optimizer, etc.) as in the original papers in the cases they are reported. Below we present the main features of each network and more details can be found in the supplementary material. ", + "bbox": [ + 176, + 103, + 825, + 172 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• All-CNN: it consists only of convolutional layers with ReLU activation (Glorot et al., 2011), it is relatively shallow and has few parameters. For ImageNet, the network has 16 layers and 9.4 million parameters; for CIFAR, it has 12 layers and 1.3 million parameters. In our experiments to compare the adaptability of data augmentation and explicit regularization to changes in the architecture, we also test a shallower version, with 9 layers and 374,000 parameters, and a deeper version, with 15 layers and 2.4 million parameters. \nWRN: a residual network, ResNet (He et al., 2016), that achieves better performance with fewer layers, but more units per layer. Here, we choose for our experiments the WRN-28-10 version (28 layers and about $3 6 . 5 \\mathrm { ~ M ~ }$ parameters), which is reported to achieve the best results on CIFAR. \nDenseNet: a network architecture arranged in blocks whose layers are connected to all previous layers, allowing for very deep architectures with few parameters. Specifically, for our experiments we use a DenseNet-BC with growth rate $k = 1 2$ and 16 layers in each block, which has a total of 0.8 million parameters. ", + "bbox": [ + 217, + 186, + 825, + 391 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.2 DATA ", + "text_level": 1, + "bbox": [ + 174, + 407, + 253, + 421 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We perform the experiments on the highly benchmarked data sets ImageNet (Russakovsky et al., 2015) ILSVRC 2012, CIFAR-10 and CIFAR-100 (Krizhevsky & Hinton, 2009). We resize the $1 . 3 { \\bf M }$ images from ImageNet into $1 5 0 \\times 2 0 0$ pixels, as a compromise between keeping a high resolution and speeding up the training. Both on ImageNet and on CIFAR, the pixel values are in the range [0, 1] and have 32 bits floating precision. ", + "bbox": [ + 174, + 434, + 825, + 503 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "So as to analyze the role of data augmentation, we train every network architecture with two different augmentation schemes as well as with no data augmentation at all: ", + "bbox": [ + 174, + 511, + 823, + 540 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• Light augmentation: This scheme is common in the literature, for example (Goodfellow et al., 2013; Springenberg et al., 2014), and performs only horizontal flips and horizontal and vertical translations of $10 \\%$ of the image size. • Heavier augmentation: This scheme performs a larger range of affine transformations such as scaling, rotations and shear mappings, as well as contrast and brightness adjustment. On ImageNet we additionally perform a random crop of $1 2 8 \\times 1 2 8$ pixels. The choice of the allowed transformations is arbitrary and the only criterion was that the objects are still recognizable in general. We deliberately avoid designing a particularly successful scheme. The details of the heavier scheme can be consulted in the supplementary material. ", + "bbox": [ + 217, + 551, + 825, + 681 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.3 TRAIN AND TEST ", + "text_level": 1, + "bbox": [ + 174, + 698, + 336, + 713 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Every architecture is trained on each data set both with explicit regularization—weight decay and dropout as specified in the original papers—and with no explicit regularization. Furthermore, we train each model with the three data augmentation schemes. The performance of the models is computed on the held out test tests. As in previous works (Krizhevsky et al., 2012; Simonyan & Zisserman, 2014), we average the softmax posteriors over 10 random light augmentations, since slightly better results are obtained. ", + "bbox": [ + 174, + 724, + 825, + 808 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "All the experiments are performed on Keras (Chollet et al., 2015) on top of TensorFlow (Abadi et al., 2015) and on a single GPU NVIDIA GeForce GTX 1080 Ti. ", + "bbox": [ + 173, + 814, + 825, + 843 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5 RESULTS ", + "text_level": 1, + "bbox": [ + 176, + 863, + 281, + 880 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "This section presents the most relevant results of the experiments comparing the roles of data augmentation and explicit regularization on convolutional neural networks. First, we present the experiments with the original architectures in section 5.1. Then, Sections 5.2 and 5.3 show the results of training the models with fewer training examples and with shallower and deeper versions of the All-CNN architecture. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 103, + 823, + 145 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The figures aim at facilitating the comparison between the models trained with and without explicit regularization, as well as between the different levels of data augmentation. The purple bars (top of each pair) correspond to the models trained without explicit regularization—weight decay and dropout—and the red bars (bottom) to the models trained with it. The different color shades correspond to the three augmentation schemes. The figures show the relative performance of each model with respect to a particular baseline in order to highlight the relevant comparisons. A detailed and complete report of all the results can be found in the supplementary material. The results on CIFAR refer to the top-1 test accuracy while on ImageNet we report the top-5. ", + "bbox": [ + 173, + 152, + 825, + 265 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/8b6cc42425af0db8d9cdf35f348694e53130994bd384e0169f755bbe068c0dd7.jpg", + "image_caption": [ + "5.1 AN ALTERNATIVE TO EXPLICIT REGULARIZATION ", + "Figure 1: Relative improvement of adding data augmentation and explicit regularization to the baseline models, $( a c c u r a c y - b a s e l i n e ) / a c c u r a c y * 1 0 0$ . The baseline accuracy is shown on the left. The results suggest that data augmentation alone (purple bars) can achieve even better performance than the models trained with both weight decay and dropout (red bars). " + ], + "image_footnote": [], + "bbox": [ + 173, + 310, + 825, + 516 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "First, we contrast the regularization effect of data augmentation and weight decay and dropout on the original networks trained with the complete data sets. For that purpose, in Figure 1 we show the relative improvement in test performance achieved by adding each technique or combination of techniques to the baseline model, that is the model trained with neither explicit regularization nor data augmentation (see the left of the bars). Table 1 shows the mean and standard deviation of each combination.3 ", + "bbox": [ + 174, + 606, + 825, + 690 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Table 1: Average accuracy improvement over the baseline model of each combination of data augmentation level and presence of weight decay and dropout. ", + "bbox": [ + 171, + 702, + 823, + 731 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/7fdac9eaac91aa8d896670518190801f26d73f687077ef245bff297f3af99967.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
No explicit reg.Weight decay+ dropout
Nonebaseline3.02 (1.65)
Light8.46 (3.80)7.88 (2.60)
Heavier8.68 (4.69)7.92 (4.03)
", + "bbox": [ + 320, + 747, + 674, + 808 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Several conclusions can be extracted from Figure 1 and Table 1. Most importantly, training with data augmentation alone (top, purple bars) improves the performance in most cases as much as or even more than training with both augmentation and explicit regularization (bottom, red bars), on average ", + "bbox": [ + 174, + 830, + 825, + 872 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/72253326400dc7273b680e490df4f2ccb0e351b3a7abc1cf1e5046f8da53e30c.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 171, + 98, + 826, + 276 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/9fdc95a93ffd8fade21f6268f1a50dd95ca5e87c9efcab76f06358e07c61c4de.jpg", + "image_caption": [ + "(a) $50 \\%$ of the available training data ", + "Figure 2: Fraction of the baseline performance when the amount of available training data is reduced, accuracy/baseline $* 1 0 0$ . The models trained wit explicit regularization present a significant drop in performance as compared to the models trained with only data augmentation. The differences become larger as the amount of training data decreases. " + ], + "image_footnote": [], + "bbox": [ + 171, + 294, + 826, + 483 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "8.57 and $7 . 9 0 \\%$ respectively. This is quite a surprising and remarkable result: note that the studied architectures achieved state-of-the-art results at the moment of their publication and the models included both light augmentation and weight decay and dropout, whose parameters were presumably finely tuned to achieve higher accuracy. The replication of these results corresponds to the middle red bars in Figure 1. We show here that simply removing weight decay and dropout—while even keeping all other hyperparameters intact, see Section 4.1—improves the formerly state-of-the-art accuracy in 4 of the 8 studied cases. ", + "bbox": [ + 174, + 582, + 825, + 679 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Second, it can also be observed that the regularization effect of weight decay and dropout, an average improvement of $3 . 0 2 \\%$ with respect to the baseline,1 is much smaller than that of data augmentation. Simply applying light augmentation increases the accuracy in $8 . 4 6 \\%$ on average. ", + "bbox": [ + 174, + 685, + 825, + 728 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Finally, note that even though the heavier augmentation scheme was deliberately not designed to optimize the performance, in both CIFAR-10 and CIFAR-100 it improves the test performance with respect to the light augmentation scheme. This is not the case on ImageNet, probably due to the increased complexity of the data set. It can be observed though that the effects are in general more consistent in the models trained without explicit regularization. In sum, it seems that the performance gain achieved by weight decay and dropout can be achieved and often improved by data augmentation alone. ", + "bbox": [ + 174, + 734, + 825, + 832 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.2 FEWER AVAILABLE TRAINING EXAMPLES ", + "text_level": 1, + "bbox": [ + 176, + 854, + 504, + 868 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We argue that one of the main drawbacks of explicit regularization techniques is their poor adaptability to changes in the conditions with which the hyperparameters were tuned. To test this hypothesis and contrast it with the adaptability of data augmentation, here we extend the analysis by training the same networks with fewer examples. The models are trained with the same random subset of data and evaluated in the same test set as the previous experiments. In order to better visualize how well each technique resists the reduction of training data, in Figure 2 we show the fraction of baseline accuracy achieved by each model when trained with $50 \\%$ and $10 \\%$ of the available data. In this case, the baseline is thus each corresponding model trained with the complete data set. Table 2 summarizes the mean and standard deviation of each combination. An extended report of results, including additional experiments with $80 \\%$ and $1 \\%$ of the data, is provided in the supplementary material. ", + "bbox": [ + 176, + 882, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/2edec866b9bf56fa06a22074db769a11a3573252f49079c30541ba1e8523b1d2.jpg", + "table_caption": [ + "Table 2: Average fraction of the original accuracy of each corresponding combination of data augmentation level and presence of weight decay and dropout. " + ], + "table_footnote": [], + "table_body": "
50 % of the training data10 % of the training data
No explicit reg.WD + dropoutNo explicit reg.WD + dropout
None88.11 (6.27)83.20 (9.83)58.72 (14.93)58.75 (16.92)
Light91.47 (4.31)88.27 (7.39)67.55 (14.27)60.89 (18.39)
Heavier91.82 (4.63)89.28 (6.63)68.69 (13.61)61.43 (15.90)
", + "bbox": [ + 235, + 146, + 772, + 219 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/a06cb94477dec2e8e682b5aca1bc93ba6d1cf81a0ee7bfc3577891a82d8f56ac.jpg", + "image_caption": [ + "Figure 3: Fraction of the original performance when the depth of the All-CNN architecture is increased or reduced in 3 layers. In the explicitly regularized models, the change of architecture implies a dramatic drop in the performance, while the models trained without explicit regularization present only slight variations with respect to the original architecture. " + ], + "image_footnote": [], + "bbox": [ + 173, + 263, + 826, + 390 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 512, + 825, + 611 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "One of the main conclusions of this set of experiments is that if no data augmentation is applied, explicit regularization hardly resist the reduction of training data by itself. On average, with $50 \\%$ of the available data, these models only achieve $8 3 . 2 0 \\%$ of the original accuracy, which, remarkably, is worse than the models trained without any explicit regularization $( 8 8 . 1 1 \\% )$ . On $10 \\%$ of the data, the average fraction is the same (58.75 and $5 8 . 7 2 \\%$ , respectively). This implies that training with explicit regularization is even detrimental for the performance. ", + "bbox": [ + 174, + 617, + 825, + 702 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "When combined with data augmentation, the models trained with explicit regularization (bottom, red bars) also perform worse (88.78 and $6 1 . 1 6 \\%$ with 50 and $10 \\%$ of the data, respectively), than the models with just data augmentation (top, purple bars, 91.64 and $6 8 . 1 2 \\%$ on average). Note that the difference becomes larger as the amount of available data decreases. Importantly, it seems that the combination of explicit regularization and data augmentation is only slightly better than training without data augmentation. We can think of two reasons that could explain this: first, the original regularization hyperparameters seem to adapt poorly to the new conditions. The hyperparameters are specifically tuned for the original setup and one would have to re-tune them to achieve comparable results. Second, since explicit regularization reduces the representational capacity, this might prevent the models from taking advantage of the augmented data. ", + "bbox": [ + 174, + 708, + 825, + 847 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In contrast, the models trained without explicit regularization more naturally adapt to the reduced availability of data. With $50 \\%$ of the data, these models, trained with data augmentation achieve about $91 . 5 \\%$ of the performance with respect to training with the complete data sets. With only $10 \\%$ of the data, they achieve nearly $70 \\%$ of the baseline performance, on average. This highlights the suitability of data augmentation to serve, to a great extent, as true, useful data (Vinyals et al., 2016). ", + "bbox": [ + 174, + 854, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.3 SHALLOWER AND DEEPER ARCHITECTURES ", + "text_level": 1, + "bbox": [ + 178, + 103, + 521, + 117 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Finally, in this section we test the adaptability of data augmentation and explicit regularization to changes in the depth of the All-CNN architecture (see Section 4.1). We show the fraction of the performance with respect to the original architecture in Figure 3. ", + "bbox": [ + 174, + 132, + 825, + 174 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "A noticeable result from Figure 3 is that all the models trained with weight decay and dropout (bottom, red bars) suffer a dramatic drop in performance when the architecture changes, regardless of whether it becomes deeper or shallower and of the amount of data augmentation. As in the case of reduced training data, this may be explained by the poor adaptability of the regularization hyperparameters, which highly depend on the architecture. ", + "bbox": [ + 174, + 181, + 825, + 251 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This highly contrasts with the performance of the models trained without explicit regularization (top, purple bars). With a deeper architecture, these models achieve slightly better performance, effectively exploiting the increased capacity. With a shallower architecture, they achieve only slightly worse performance4. Thus, these models seem to more naturally adapt to the new architecture and data augmentation becomes beneficial. ", + "bbox": [ + 174, + 258, + 825, + 328 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "It is worth commenting on the particular case of the CIFAR-100 benchmark, where the difference between the models with and without explicit regularization is even more pronounced, in general. It is a common practice in object recognition papers to tune the parameters for CIFAR-10 and then test the performance on CIFAR-100 with the same hyperparameters. Therefore, these are typically less suitable for CIFAR-100. We believe this is the reason why the benefits of data augmentation seem even more pronounced on CIFAR-100 in our experiments. ", + "bbox": [ + 174, + 335, + 825, + 419 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In sum, these results highlight another crucial advantage of data augmentation: the effectiveness of its hyperparameters, that is the type of image transformations, depend mostly on the type of data, rather than on the particular architecture or amount of available training data, unlike explicit regularization hyperparameters. Therefore, removing explicit regularization and training with data augmentation increases the flexibility of the models. ", + "bbox": [ + 174, + 426, + 823, + 496 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 DISCUSSION ", + "text_level": 1, + "bbox": [ + 174, + 525, + 310, + 540 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We have presented a systematic analysis of the role of data augmentation in deep convolutional neural networks for object recognition, focusing on the comparison with popular explicit regularization techniques—weight decay and dropout. In order to facilitate the discussion and the analysis, we first proposed in Section 2 definitions of explicit and implicit regularization, which have been ambiguously used in the literature. Accordingly, we have argued that data augmentation should not be considered an explicit regularizer, such as weight decay and dropout. Then, we provided some theoretical insights in Section 3 that highlight some advantages of data augmentation over explicit regularization. Finally, we have empirically shown that explicit regularization is not only unnecessary (Zhang et al., 2017), but also that its generalization gain can be achieved by data augmentation alone. Moreover, we have demonstrated that, unlike data augmentation, weight decay and dropout exhibit poor adaptability to changes in the architecture and the amount of training data. ", + "bbox": [ + 174, + 560, + 825, + 713 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Despite the limitations of our empirical study, we have chosen three significantly distinct network architectures and three data sets in order to increase the generality of our conclusions, which should ideally be confirmed by future work on a wider range of models, data sets and even other domains such text or speech. It is important to note, however, that we have taken a conservative approach in our experimentation: all the hyperparameters have been kept as in the original models, which included both weight decay and dropout, as well as light augmentation. This setup is clearly suboptimal for models trained without explicit regularization. Besides, the heavier data augmentation scheme was deliberately not optimized to improve the performance and it was not the scope of this work to propose a specific data augmentation technique. As future work, we plan to propose data augmentation schemes that can more successfully be exploited by any deep model. ", + "bbox": [ + 174, + 720, + 825, + 859 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The relevance of our findings lies in the fact that explicit regularization is currently the standard tool to enable the generalization of most machine learning methods and is included in most convolutional neural networks. However, we have empirically shown that simply removing the explicit regularizers often improves the performance or only marginally reduces it, if some data augmentation is applied. These results are supported by the theoretical insights provided in in Section 3. ", + "bbox": [ + 174, + 103, + 825, + 174 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Zhang et al. (2017) suggested that regularization might play a different role in deep learning, not fully explained by statistical learning theory (Vapnik & Chervonenkis, 1971). We have argued instead that the theory still naturally holds in deep learning, as long as one considers the crucial role of implicit regularization: explicit regularization seems to be no longer necessary because its contribution is already provided by the many elements that implicitly and successfully regularize the models: to name a few, stochastic gradient descent, convolutional layers and data augmentation. ", + "bbox": [ + 174, + 180, + 825, + 263 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6.1 RETHINKING DATA AUGMENTATION ", + "text_level": 1, + "bbox": [ + 176, + 284, + 465, + 297 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Data augmentation is often regarded by authors of machine learning papers as cheating, something that should not be used in order to test the potential of a newly proposed architecture (Goodfellow et al., 2013; Graham, 2014; Larsson et al., 2016). In contrast, weight decay and dropout are almost ubiquitous and considered intrinsic elements of the algorithms. In view of the results presented here, we believe that the deep learning community would benefit if we rethink data augmentation and switch roles with explicit regularization: a good model should generalize well without the need for explicit regularization and successful methods should effectively exploit data augmentation. ", + "bbox": [ + 174, + 310, + 825, + 407 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In this regard it is worth highlighting some of the advantages of data augmentation: Not only does it not reduce the representational capacity of the model, unlike explicit regularization, but also, since the transformations reflect plausible variations of the real objects, it increases the robustness of the model and it can be seen as a data-dependent prior, similarly to unsupervised pre-training (Erhan et al., 2010). Novak et al. (2018) have shown that data augmentation consistently yields models with smaller sensitivity to perturbations. Interestingly, recent work has found that models trained with heavier data augmentation learn representations that are more similar to the inferior temporal (IT) cortex, highlighting the biological plausibility of data augmentation (Hernández-García et al., 2018). ", + "bbox": [ + 174, + 415, + 825, + 526 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Deep neural networks are especially well suited for data augmentation because they do not rely on pre-computed features and because the large number of parameters allows them to shatter the augmented training set. Moreover, unlike explicit regularization, data augmentation can be performed on the CPU, in parallel to the gradient updates. Finally, an important conclusion from Sections 5.2 and 5.3 is that data augmentation naturally adapts to architectures of different depth and amounts of available training data, whereas explicitly regularized models are highly sensitive to such changes and need specific fine-tuning of their hyperparameters. In sum, data augmentation seems to be a strong alternative to explicit regularization techniques. ", + "bbox": [ + 174, + 532, + 825, + 645 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Some argue that despite these advantages, data augmentation is a limited approach because it depends on some prior expert knowledge and it cannot be applied to all domains. However, we argue instead that expert knowledge should not be disregarded but exploited. A single data augmentation scheme can be designed for a broad family of data (for example, natural images) and effectively applied to a broad set of tasks (for example, object recognition, segmentation, localization, etc.). Besides, interesting recent works have shown that it is possible to automatically learn the data augmentation strategies (Lemley et al., 2017; Ratner et al., 2017). We hope that these insights encourage more research attention on data augmentation and that future work brings more sophisticated and effective data augmentation techniques, potentially applicable to different data modalities. 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", + "bbox": [ + 174, + 881, + 823, + 922 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A DETAILS OF NETWORK ARCHITECTURES ", + "text_level": 1, + "bbox": [ + 176, + 103, + 545, + 117 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "This appendix presents the details of the network architectures used in the main experiments: AllCNN, Wide Residual Network (WRN) and DenseNet. All-CNN is a relatively simple, small network with a few number of layers and parameters, WRN is deeper, has residual connections and many more parameters and DenseNet is densely connected and is much deeper, but parameter effective. ", + "bbox": [ + 174, + 136, + 826, + 191 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.1 ALL CONVOLUTIONAL NETWORK ", + "text_level": 1, + "bbox": [ + 176, + 214, + 452, + 228 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "All-CNN consists exclusively of convolutional layers with ReLU activation (Glorot et al., 2011), it is relatively shallow and has few parameters. For ImageNet, the network has 16 layers and 9.4 million parameters; for CIFAR, it has 12 layers and about 1.3 million parameters. In our experiments to compare the adaptability of data augmentation and explicit regularization to changes in the architecture, we also test a shallower version, with 9 layers and 374,000 parameters, and a deeper version, with 15 layers and 2.4 million parameters. The four architectures can be described as in Table 3, where $K \\mathbf { C } D ( S )$ is a $D \\times D$ convolutional layer with $K$ channels and stride $S$ , followed by batch normalization and a ReLU non-linearity. $N . C l .$ is the number of classes and Gl.Avg. refers to global average pooling. The CIFAR network is identical to the All-CNN-C architecture in the original paper, except for the introduction of the batch normalization layers. The ImageNet version also includes batch normalization layers and a stride of 2 instead of 4 in the first layer to compensate for the reduced input size (see below). ", + "bbox": [ + 173, + 241, + 825, + 409 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "ImageNet 96C11(2)–96C1(1)–96C3(2)–256C5(1) –256C1(1)–256C3(2)–384C3(1) –384C1(1)–384C3(2)–1024C3(1) –1024C1(1)–N.Cl.C1(1) –Gl.Avg.–Softmax \nCIFAR 2×96C3(1)–96C3(2)–2×192C3(1) –192C3(2)–192C3(1)–192C1(1) –N.Cl.C1(1)–Gl.Avg.–Softmax \nShallower 2×96C3(1)–96C3(2)–192C3(1) –192C1(1)–N.Cl.C1(1)–Gl.Avg.–Softmax \nDeeper $2 \\times 9 6 \\mathbf { C } 3 ( 1 ) { - } 9 6 \\mathbf { C } 3 ( 2 ) { - } 2 { \\times } 1 9 2 \\mathbf { C } 3 ( 1 )$ ) $- 1 9 2 \\mathbf { C } 3 ( 2 ) - 2 \\times 1 9 2 \\mathbf { C } 3 ( 1 ) - 1 9 2 \\mathbf { C } 3 ( 2 )$ –192C3(1)–192C1(1) –N.Cl.C1(1)–Gl.Avg.–Softmax ", + "bbox": [ + 315, + 457, + 679, + 665 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Importantly, we keep the same training parameters as in the original paper in the cases they are reported. Specifically, the All-CNN networks are trained using stochastic gradient descent, with fixed Nesterov momentum 0.9, learning rate of 0.01 and decay factor of 0.1. The batch size for the experiments on ImageNet is 64 and we train during 25 epochs decaying the learning rate at epochs 10 and 20. On CIFAR, the batch size is 128, we train for 350 epochs and decay the learning rate at epochs 200, 250 and 300. The kernel parameters are initialized according to the Xavier uniform initialization (Glorot & Bengio, 2010). ", + "bbox": [ + 174, + 690, + 825, + 787 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.2 WIDE RESIDUAL NETWORK ", + "text_level": 1, + "bbox": [ + 176, + 809, + 411, + 823 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "WRN is a modification of ResNet (He et al., 2016) that achieves better performance with fewer layers, but more units per layer. Here we choose for our experiments the WRN-28-10 version (28 layers and about $3 6 . 5 \\mathrm { ~ M ~ }$ parameters), which is reported to achieve the best results on CIFAR. It has the following architecture: ", + "bbox": [ + 174, + 837, + 825, + 892 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where $K \\mathbf { \\mathbf { \\mathbf { k } } }$ is a residual block with residual function BN–ReLU–KC3(1)–BN–ReLU–KC 3(1). BN is batch normalization, Avg.(8) is spatial average pooling of size 8 and FC is a fully connected layer. On ImageNet, the stride of the first convolution is 2. The stride of the first convolution within the residual blocks is 1 except in the first block of the series of 4, where it is set to 2 in order to subsample the feature maps. ", + "bbox": [ + 174, + 102, + 825, + 174 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Similarly, we keep the training parameters of the original paper: we train with SGD, with fixed Nesterov momentum 0.9 and learning rate of 0.1. On ImageNet, the learning rate is decayed by 0.2 at epochs 8 and 15 and we train for a total of 20 epochs with batch size 32. On CIFAR, we train with a batch size of 128 during 200 epochs and decay the learning rate at epochs 60, 120 and 160. The kernel parameters are initialized according to the He normal initialization (He et al., 2015). ", + "bbox": [ + 174, + 180, + 825, + 251 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "A.3 DENSENET ", + "text_level": 1, + "bbox": [ + 174, + 267, + 297, + 281 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The main characteristic of DenseNet (Huang et al., 2017) is that the architecture is arranged into blocks whose layers are connected to all the layers below, forming a dense graph of connections, which permits training very deep architectures with fewer parameters than, for instance, ResNet. Here, we use a network with bottleneck compression rate $\\theta = 0 . 5$ (DenseNet-BC), growth rate $k = 1 2$ and 16 layers in each of the three blocks. The model has nearly 0.8 million parameters. The specific architecture can be descried as follows: ", + "bbox": [ + 173, + 292, + 826, + 377 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $\\mathrm { D B } ( c )$ is a dense block, that is a concatenation of $c$ convolutional blocks. Each convolutional block is of a set of layers whose output is concatenated with the input to form the input of the next convolutional block. A convolutional block with bottleneck structure has the following layers: ", + "bbox": [ + 174, + 415, + 826, + 458 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "TB is a transition block, which downsamples the size of the feature maps, formed by the following layers: ", + "bbox": [ + 173, + 497, + 826, + 526 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Like with All-CNN and WRN, we keep the training hyper-parameters of the original paper. On the CIFAR data sets, we train with SGD, with fixed Nesterov momentum 0.9 and learning rate of 0.1, decayed by 0.1 on epochs 150 and 200 and training for a total of 300 epochs. The batch size is 64 and the are initialized with He initialization. ", + "bbox": [ + 173, + 564, + 826, + 621 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "B DETAILS OF THE HEAVIER DATA AUGMENTATION SCHEME ", + "text_level": 1, + "bbox": [ + 176, + 642, + 687, + 657 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In this appendix we present the details of the heavier data augmentation scheme, introduced in Section 3.2: ", + "bbox": [ + 174, + 671, + 826, + 700 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "• Affine transformations: $\\left[ \\begin{array} { c } { x ^ { \\prime } } \\\\ { y ^ { \\prime } } \\\\ { 1 } \\end{array} \\right] = \\left[ \\begin{array} { c c c } { f _ { h } z _ { x } \\cos ( \\theta ) } & { - z _ { y } \\sin ( \\theta + \\phi ) } & { t _ { x } } \\\\ { z _ { x } \\sin ( \\theta ) } & { z _ { y } \\cos ( \\theta + \\phi ) } & { t _ { y } } \\\\ { 0 } & { 0 } & { 1 } \\end{array} \\right] \\left[ \\begin{array} { c } { x } \\\\ { y } \\\\ { 1 } \\end{array} \\right]$ • Contrast adjustment: $x ^ { \\prime } = \\gamma ( x - \\overline { { x } } ) + \\overline { { x } }$ • Brightness adjustment: $x ^ { \\prime } = x + \\delta$ ", + "bbox": [ + 217, + 713, + 565, + 813 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C DETAILED AND EXTENDED EXPERIMENTAL RESULTS ", + "text_level": 1, + "bbox": [ + 173, + 837, + 647, + 853 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "This appendix details the results of the main experiments shown in Figures 1, 2 and 3 and provides the results of many other experiments not presented above in order not to clutter the visualization. Some of these results are the top-1 accuracy on ImageNet, the results of the models trained with dropout, but without weight decay; and the results of training with $80 \\%$ and $1 \\%$ of the data. ", + "bbox": [ + 174, + 867, + 826, + 924 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/fadb5579cd35c1f2a826ff1ab28927f6f0030ac73d1ff3ce909e379617837d0a.jpg", + "table_caption": [ + "Table 4: Description and range of possible values of the parameters used for the heavier augmentation. $B ( p )$ denotes a Bernoulli distribution and $\\textstyle { \\mathcal { U } } ( a , b )$ a uniform distribution. " + ], + "table_footnote": [], + "table_body": "
ParameterDescriptionRange
fhHoriz. flip1- 2B(0.5)
txHoriz. translationu(-0.1,0.1)
tyVert. translationu(-0.1,0.1)
2xHoriz. scaleU(0.85,1.15)
ZyVert. scaleU(0.85,1.15)
0Rotation angleU(-22.5°,22.5°)
?Shear angleu(-0.15,0.15)
Contrast(0.5,1.5)
8BrightnessU(-0.25,0.25)
", + "bbox": [ + 313, + 145, + 681, + 304 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Additionally, for many experiments we also train a version of the network without batch normalization. These results are provided within brackets in the tables. Note that the original All-CNN results published by Springenberg et al. (2014) did not include batch normalization. In the case of WRN, we remove all batch normalization layers except the top-most one, before the spatial average pooling, since otherwise many models would not converge. ", + "bbox": [ + 173, + 334, + 825, + 404 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/a9183fdc67e13dce4c653408acc25ca7ad40d7078a92353e058826633792f5ec.jpg", + "table_caption": [ + "Table 5: Test accuracy of All-CNN and WRN, comparing the performance with and without explicit regularizers and the different augmentation schemes. Results within brackets show the performance of the models without batch normalization " + ], + "table_footnote": [], + "table_body": "
NetworkWDDropoutAug.CIFAR-10CIFAR-100Acc. ImageNet
All-CNNyesyesno90.04 (88.35)66.50 (60.54)58.09
yesyeslight93.26 (91.97)70.85 (65.57)63.35
yesyesheavier93.08 (92.44)70.59 (68.62)60.15
noyesno77.99 (87.59)52.39 (60.96)
noyeslight77.20 (92.01)69.71 (68.01)
noyesheavier88.29 (92.18)70.56 (68.40)
nonono84.53 (71.98)57.99 (39.03)56.53
nonolight93.26 (90.10)69.26 (63.00)63.79
WRNnonoheavier93.55 (91.48)71.25 (71.46)61.37
yesyesno91.44 (89.30)71.67 (67.42)54.67
yesyeslight95.01 ( 1(93.48)77.58 (74.23)68.84
yesyesheavier95.60 (94.38)76.96 (74.79)66.82
noyesno91.47 (89.38)71.31 (66.85)
noyeslight94.76 (93.52)77.42 (74.62)
noyesheavier95.58 (94.52)77.47 (73.96)
nonono89.56 (85.45)68.16 (59.90)61.29
nonolight94.71 (93.69)77.08 (75.27)69.80
nonoheavier95.47 (94.95)77.30 (75.69)69.30
", + "bbox": [ + 196, + 474, + 802, + 743 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "An important observation from Table 5 is that the interaction of weight decay and dropout is not always consistent, since in some cases better results can be obtained with both explicit regularizers active and in other cases, only dropout achieves better generalization. In contrast, the effect of data augmentation seems to be consistent: just some light augmentation achieves much better results than training only with the original data set and performing heavier augmentation almost always further improves the test accuracy, without the need for explicit regularization. ", + "bbox": [ + 174, + 762, + 825, + 847 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Not surprisingly, batch normalization also contributes to improve the generalization of All-CNN and it seems to combine well with data augmentation. On the contrary, when combined with explicit regularization the results are interestingly not consistent in the case of All-CNN: it seems to improve the generalization of the model trained with both weight decay and dropout, but it drastically reduces the performance with only dropout, in the case of CIFAR-10 and CIFAR-100 without augmentation. ", + "bbox": [ + 174, + 854, + 825, + 924 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A probable explanation is, again, that the regularization hyperparameters would need to be readjusted with a change of the architecture. ", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Furthermore, it seems that the gap between the performance of the models trained with and without batch normalization is smaller when they are trained without explicit regularization and when they include heavier data augmentation. This can be observed in Table 5, as well as in Table 6, which contains the results of the models trained with fewer examples. It is important to note as well the benefits of batch normalization for obtaining better results when training with fewer examples. However, it is surprising that there is only a small drop in the performance of WRN— $9 5 . 4 7 ~ \\%$ to $9 4 . 9 5 \\%$ without regularization— from removing the batch normalization layers of the residual blocks, given that they were identified as key components of ResNet (He et al., 2016; Zagoruyko & Komodakis, 2016). ", + "bbox": [ + 174, + 138, + 825, + 263 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/a48d2ad775b4f55efedc3f1f44b238ea285c4c1c97451f823a7b874084a4d0e6.jpg", + "table_caption": [ + "Table 6: Test accuracy of All-CNN and WRN when training with only $80 \\%$ , $50 \\%$ , $10 \\%$ and $1 \\%$ of the available examples. Results within brackets correspond to the models without batch normalization " + ], + "table_footnote": [], + "table_body": "
Pct. Data Expl. Reg.Aug. schemeTest CIFAR-10Test CIFAR-100
80 %All-CNNWRNAll-CNNWRN
yesno89.41 (86.61)90.2763.93 (52.51)70.41
yeslight92.20 (91.25)94.0767.63 (63.24)75.66
yesheavier92.83 (91.42)94.5768.01 (65.89)75.51
nono83.04 (75.00)88.9855.78 (35.95)66.10
nolight92.25 (88.75)93.9769.05 (56.81)75.07
noheavier92.80 (90.55)94.8469.40 (63.57)75.38
50 %yesno85.88 (82.33)86.9658.24 (44.94)63.60
yeslight90.30 (87.37)92.6561.03 (54.68)70.83
yesheavier90.09 (88.94)92.8663.25 (57.91)70.33
nono78.61 (69.46)85.5648.62 (31.81)60.64
nolight90.21 (84.38)91.8762.83 (47.84)69.97
noheavier90.76 (87.44)92.7764.41 ( (55.27)70.72
10 %yesno67.19 (61.61)70.7333.77 (19.79)34.11
yeslight76.03 (69.18)76.0038.51 (22.79)36.65
yesheavier78.69 (64.14)78.1038.34 (26.29)38.93
nono60.97 (41.07)60.3926.05 (17.55)23.65
nolight78.29 (67.65)79.1937.84 (24.34)39.24
noheavier79.87 (70.64)80.2939.85 (26.31)41.44
1%yesno
yes27.53 (29.90)33.459.16 (3.60)7.47
yeslight heavier37.18 (26.85)34.13 41.029.64 (3.65) 9.14 (2.52)7.50 8.37
nono42.73 (26.87) 38.89 (35.68)38.639.50 (5.51)9.47
nolight44.35 (29.29)43.849.87 (5.36)9.91
noheavier47.60 (33.72)47.1411.45 (3.57)11.03
", + "bbox": [ + 194, + 352, + 805, + 715 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "The results in Table 6 clearly support the conclusion presented in Section 4.2: data augmentation alone better resists the lack of training data compared to explicit regularizers. Already with $80 \\%$ and $50 \\%$ of the data better results are obtained in some cases, but the differences become much bigger when training with only $10 \\%$ and $1 \\%$ of the available data. It seems that explicit regularization prevents the model from both fitting the data and generalizing well, whereas data augmentation provides useful transformed examples. Interestingly, with only $1 \\%$ of the data, even without data augmentation the models without explicit regularization perform better. ", + "bbox": [ + 174, + 762, + 825, + 861 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "The same effect can be observed in Table 7, where both the shallower and deeper versions of AllCNN perform much worse when trained with explicit regularization, even when trained without data augmentation. This is another piece of evidence that explicit regularization needs to be used very carefully, it requires a proper tuning of the hyperparameters and is not always beneficial. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/b809d4e9c993f62efbfddaf400764e099718f0bb941ba01fd8c854d5736c0a57.jpg", + "table_caption": [ + "Table 7: Test accuracy of the shallower and deeper versions of All-CNN on CIFAR-10 and CIFAR-100. Results in parentheses show the difference with respect to the original model. " + ], + "table_footnote": [], + "table_body": "
Expl. Reg.Aug.Test CIFAR-10Test CIFAR-100
ShallowerDeeperShallowerDeeper
yesno76.45 (-13.59)86.26 (-3.78)51.31 (-9.23)49.06 (-11.48)
yeslight82.02 (-11.24)85.04 (-8.22)56.81 (-8.76)52.03 (-13.54)
yesheavier86.66 (-6.42)88.46 (-4.62)58.64 (-9.98)51.78 (-16.84)
nono85.22 (+0.69)83.30 (-1.23)58.95 (+0.96)54.22 (-3.77)
nolight90.02 (-3.24)93.46 (+0.20)65.51 (-3.75)72.16 (+2.90)
noheavier90.34 (-3.21)94.19 (+0.64)65.87 (-5.38)73.30 (+2.35)
", + "bbox": [ + 196, + 145, + 803, + 262 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "D NORM OF THE WEIGHT MATRIX ", + "text_level": 1, + "bbox": [ + 176, + 292, + 470, + 309 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In this appendix we provide the computations of the Frobenius norm of the weight matrices of the models trained with different levels of explicit regularization and data augmentation, as a rough estimation of the complexity of the learned models. Table 8 shows the Frobenius norm of the weight matrices of the models trained with different levels of explicit regularization and data augmentation. The clearest conclusion is that heavier data augmentation seems to yield solutions with larger norm. This is always true except in some All-CNN models trained without batch normalization. Another observation is that, as expected, weight decay constrains the norm of the learned function. Besides, the models trained without batch normalization exhibit smaller differences between different levels of regularization and augmentation and, in the case of All-CNN, less consistency. ", + "bbox": [ + 173, + 324, + 826, + 450 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/ba6113db4dd1311ebee5f859fc5dbc1661d72d8b6f123aea4817489b43f4c864.jpg", + "table_caption": [ + "Table 8: Frobenius norm of the weight matrices learned by the networks All-CNN and WRN on CIFAR-10 and CIFAR-100, trained with and without explicit regularizers and the different augmentation schemes. Norms within brackets correspond to the models without batch normalization " + ], + "table_footnote": [], + "table_body": "
WDDropoutAug.Norm CIFAR-10Norm CIFAR-100
All-CNNWRNAll-CNNWRN
yesyesno48.7 (64.9)101.4 (122.6)76.5 (97.9)134.8 (126.5)
yesyeslight52.7 (63.2)106.1 (123.9)77.6 (86.8)140.8 (129.3)
yesyesheavier57.6 (62.8)119.3 (125.3)78.1 (83.1)164.2 (132.5)
noyesno52.4 (70.5)153.3 (122.5)79.7 (103.3)185.1 (126.5)
noyeslight57.0 (67.9)160.6 (123.9)83.6 (93.0)199.0 (129.4)
noyesheavier62.8 (67.5)175.1 (125.2)84.0 (88.0)225.4 (132.5)
nonono37.3 (63.7)139.0 (120.4)47.6 (102.7)157.9 (122.0)
nonolight47.0 (69.5)153.6 (123.2)80.0 (108.9)187.0 (127.2)
nonoheavier62.0 (71.7)170.4 (125.4)91.7 (91.7)217.6 (132.9)
", + "bbox": [ + 199, + 523, + 799, + 681 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "One of the relevant results presented in this paper is the poor performance of the regularized models on the shallower and deeper versions of All-CNN, compared to the models without explicit regularization (see Table 7). One hypothesis is that the amount of regularization is not properly adjusted through the hyperparameters. This could be reflected in the norm of the learned weights, shown in Table 9. However, the norm alone does not seem to fully explain the large performance differences between the different models. Finding the exact reasons why the regularized models not able to generalize well might require a much thorough analysis and we leave it as future work. ", + "bbox": [ + 173, + 702, + 825, + 800 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "E ON THE TAXONOMY OF REGULARIZATION ", + "text_level": 1, + "bbox": [ + 174, + 821, + 558, + 838 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Although it is out of the scope of this paper to elaborated on the taxonomy of regularization techniques for deep neural networks, an important contribution of this work is providing definitions of explicit and implicit regularization, which have been used ambiguously in the literature before. It is therefore worth mentioning here some of the previous works that have used these terms and to point to literature that has specifically elaborated on the regularization taxonomy or proposed other related terms. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/4c306ebb16cb012f9597f9aee2a7e33a870f42a16b935265471b8268140b25bf.jpg", + "table_caption": [ + "Table 9: Frobenius norm of the weight matrices learned by the shallower and deeper versions of the All-CNN network on CIFAR-10 and CIFAR-100. " + ], + "table_footnote": [], + "table_body": "
Explicit Reg.Aug. s .schemeNorm CIFAR-10Norm CIFAR-100
ShallowerDeeperShallowerDeeper
yesno47.962.368.992.1
yeslight49.766.567.195.7
yesheavier51.971.566.296.9
nono34.845.464.753.4
nolight45.657.368.877.3
noheavier53.170.768.397.5
", + "bbox": [ + 240, + 146, + 759, + 262 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Neyshabur et al. (2014) observed that the size of neural networks could not explain and control by itself the effective capacity of neural networks and proposed that other elements should implicitly regularize the models. However, no definitions or clear distinction between explicit and implicit regularization was provided. Later, Zhang et al. (2017) compared different regularization techniques and mentioned the role of implicit regularization, but did not provide definitions either, and, importantly, they considered data augmentation an explicit form of regularization. We have argued against that view throughout this paper, especially in Sections 2 and 6.1. ", + "bbox": [ + 173, + 292, + 825, + 391 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "An extensive review of the taxonomy of regularization techniques was carried out by Kukacka et al. ˇ (2017). Although no distinction is made between explicit and implicit regularization, they define the class regularization via optimization, which is somehow related to implicit regularization. However, regularization via optimization is more specific than our definition and data augmentation, among others, would not fall into that category. ", + "bbox": [ + 173, + 397, + 825, + 468 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Recently, Guo et al. (2018) provided a distinction between data-independent and data-dependent regularization. They define data-independent regularization as those techniques that impose certain constraint on the hypothesis set, thus constraining the optimization problem. Examples are weight decay and dropout. We believe this is closely related to our definition of explicit regularization. Then, they define data-dependent regularization as those techniques that make assumptions on the hypothesis set with respect to the training data, as is the case of data augmentation. ", + "bbox": [ + 173, + 474, + 825, + 559 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "While we acknowledge the usefulness of such taxonomy, we believe the division between dataindependent and dependent regularization leaves some ambiguity about other techniques, such as batch-normalization, which neither imposes an explicit constraint on H nor on the training data. The taxonomy of explicit vs. implicit regularization is however complete, since implicit regularization refers to any regularization effect that does not come from explicit (or data-independent) techniques. ", + "bbox": [ + 174, + 565, + 825, + 635 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Finally, we argue it would be useful to distinguish between domain-specific, perceptually-motivated data augmentation and other kinds of data-dependent regularization. Data augmentation ultimately aims at creating new examples that could be plausible transformations of the real-world objects. In other words, the augmented samples should be no different in nature than the available data. In statistical terms, they should belong to the same underlying probability distribution. In contrast, one can think of data manipulations that would not mimic any plausible transformation of the data, which still can improve generalization and thus fall into the category of data-dependent regularization (and implicit regularization). One example is mixup, which is the subject of study of Guo et al. (2018). 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In contrast,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "score": 1.0, + "content": "data augmentation techniques exploit domain knowledge to increase the number of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 311, + 470, + 323 + ], + "spans": [ + { + "bbox": [ + 141, + 311, + 470, + 323 + ], + "score": 1.0, + "content": "training examples and improve generalization without reducing the representational", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "score": 1.0, + "content": "capacity and without introducing model-dependent parameters, since it is applied", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 142, + 333, + 469, + 344 + ], + "spans": [ + { + "bbox": [ + 142, + 333, + 469, + 344 + ], + "score": 1.0, + "content": "on the training data. In this paper we systematically contrast data augmentation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "score": 1.0, + "content": "and explicit regularization on three popular architectures and three image object", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 355, + 469, + 366 + ], + "spans": [ + { + "bbox": [ + 142, + 355, + 469, + 366 + ], + "score": 1.0, + "content": "classification data sets. Our results demonstrate that data augmentation alone can", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 365, + 469, + 377 + ], + "spans": [ + { + "bbox": [ + 141, + 365, + 469, + 377 + ], + "score": 1.0, + "content": "achieve the same performance or higher as regularized models and exhibits much", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 376, + 469, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 469, + 389 + ], + "score": 1.0, + "content": "higher adaptability to changes in the architecture and the amount of training data.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 108, + 409, + 205, + 422 + ], + "lines": [ + { + "bbox": [ + 105, + 408, + 208, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 208, + 425 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 434, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "One of the central issues in machine learning research and application is finding ways of improving", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "generalization. Regularization, loosely defined as any modification applied to a learning algorithm that", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "helps prevent overfitting, plays therefore a key role in machine learning (Girosi et al., 1995; Müller,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 466, + 506, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 506, + 481 + ], + "score": 1.0, + "content": "2012). In the case of deep learning, where neural networks tend to have several orders of magnitude", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 478, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 506, + 491 + ], + "score": 1.0, + "content": "more parameters than training examples, statistical learning theory (Vapnik & Chervonenkis, 1971)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "indicates that regularization becomes even more crucial. Accordingly, a myriad of techniques have", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 501, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 417, + 513 + ], + "score": 1.0, + "content": "been proposed as regularizers: weight decay (Hanson & Pratt, 1989) and other", + "type": "text" + }, + { + "bbox": [ + 418, + 501, + 430, + 511 + ], + "score": 0.84, + "content": "L ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 501, + 505, + 513 + ], + "score": 1.0, + "content": "penalties; dropout", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "(Srivastava et al., 2014) and stochastic depth (Huang et al., 2016), to name a few examples. Moreover,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "score": 1.0, + "content": "whereas in simpler machine learning algorithms the regularizers can be easily identified as explicit", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 532, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 547 + ], + "score": 1.0, + "content": "terms in the objective function, in modern deep neural networks the sources of regularization are", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 545, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 506, + 557 + ], + "score": 1.0, + "content": "not only explicit, but implicit (Neyshabur et al., 2014). In this regard, many techniques have been", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 555, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 506, + 567 + ], + "score": 1.0, + "content": "studied for their regularization effect, despite not being explicitly intended as such. That is the case", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 566, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 506, + 578 + ], + "score": 1.0, + "content": "of unsupervised pre-training (Erhan et al., 2010), multi-task learning (Caruana, 1998), convolutional", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "score": 1.0, + "content": "layers (LeCun et al., 1990), batch normalization (Ioffe & Szegedy, 2015) or adversarial training", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "(Szegedy et al., 2013). In sum, there are multiple elements in deep learning that contribute to reduce", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 600, + 282, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 282, + 611 + ], + "score": 1.0, + "content": "overfitting and thus improve generalization.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 107, + 616, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "Driven by the success of such techniques and the efficient use of GPUs, considerable research", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "effort has been devoted to finding ways of training deeper and wider networks with larger capacity", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 639, + 506, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 506, + 650 + ], + "score": 1.0, + "content": "(Simonyan & Zisserman, 2014; He et al., 2016; Zagoruyko & Komodakis, 2016). Ironically, the in-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "score": 1.0, + "content": "creased representational capacity is eventually reduced in practice by the use of explicit regularization,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "most commonly weight decay and dropout. It is known, for instance, that the gain in generalization", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "score": 1.0, + "content": "provided by dropout comes at the cost of using larger models and training for longer (Goodfellow", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "score": 1.0, + "content": "et al., 2016). Hence, it seems that with these standard regularization methods deep networks are", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 693, + 288, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 693, + 288, + 705 + ], + "score": 1.0, + "content": "wasting capacity (Dauphin & Bengio, 2013).", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41.5 + }, + { + "type": "text", + "bbox": [ + 108, + 710, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Unlike explicit regularization, data augmentation improves generalization without reducing the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 735 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 735 + ], + "score": 1.0, + "content": "capacity of the model. Data augmentation, that is synthetically expanding a data set by apply-", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46.5 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 308, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 308, + 761 + ], + "score": 1.0, + "content": "1", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 80, + 363, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 80, + 365, + 99 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 365, + 99 + ], + "score": 1.0, + "content": "DATA AUGMENTATION INSTEAD OF", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 102, + 312, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 312, + 118 + ], + "score": 1.0, + "content": "EXPLICIT REGULARIZATION", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 135, + 244, + 157 + ], + "lines": [ + { + "bbox": [ + 113, + 135, + 201, + 147 + ], + "spans": [ + { + "bbox": [ + 113, + 135, + 201, + 147 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 111, + 146, + 245, + 158 + ], + "spans": [ + { + "bbox": [ + 111, + 146, + 245, + 158 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 111, + 135, + 245, + 158 + ] + }, + { + "type": "title", + "bbox": [ + 278, + 186, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 277, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 277, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 211, + 469, + 388 + ], + "lines": [ + { + "bbox": [ + 141, + 212, + 469, + 224 + ], + "spans": [ + { + "bbox": [ + 141, + 212, + 469, + 224 + ], + "score": 1.0, + "content": "Modern deep artificial neural networks have achieved impressive results through", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 223, + 469, + 235 + ], + "spans": [ + { + "bbox": [ + 141, + 223, + 469, + 235 + ], + "score": 1.0, + "content": "models with orders of magnitude more parameters than training examples which", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 234, + 470, + 246 + ], + "spans": [ + { + "bbox": [ + 141, + 234, + 470, + 246 + ], + "score": 1.0, + "content": "control overfitting with the help of regularization. Regularization can be implicit, as", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 245, + 470, + 257 + ], + "spans": [ + { + "bbox": [ + 141, + 245, + 470, + 257 + ], + "score": 1.0, + "content": "is the case of stochastic gradient descent and parameter sharing in convolutional lay-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 256, + 470, + 268 + ], + "spans": [ + { + "bbox": [ + 141, + 256, + 470, + 268 + ], + "score": 1.0, + "content": "ers, or explicit. Explicit regularization techniques, most common forms are weight", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 266, + 470, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 266, + 470, + 279 + ], + "score": 1.0, + "content": "decay and dropout, have proven successful in terms of improved generalization,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 277, + 469, + 290 + ], + "spans": [ + { + "bbox": [ + 141, + 277, + 469, + 290 + ], + "score": 1.0, + "content": "but they introduce sensitive hyper-parameters and, incongruously, often require", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 289, + 470, + 301 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 470, + 301 + ], + "score": 1.0, + "content": "deeper and wider architectures to compensate for the reduced capacity. In contrast,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "score": 1.0, + "content": "data augmentation techniques exploit domain knowledge to increase the number of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 311, + 470, + 323 + ], + "spans": [ + { + "bbox": [ + 141, + 311, + 470, + 323 + ], + "score": 1.0, + "content": "training examples and improve generalization without reducing the representational", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "score": 1.0, + "content": "capacity and without introducing model-dependent parameters, since it is applied", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 142, + 333, + 469, + 344 + ], + "spans": [ + { + "bbox": [ + 142, + 333, + 469, + 344 + ], + "score": 1.0, + "content": "on the training data. In this paper we systematically contrast data augmentation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "score": 1.0, + "content": "and explicit regularization on three popular architectures and three image object", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 355, + 469, + 366 + ], + "spans": [ + { + "bbox": [ + 142, + 355, + 469, + 366 + ], + "score": 1.0, + "content": "classification data sets. Our results demonstrate that data augmentation alone can", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 365, + 469, + 377 + ], + "spans": [ + { + "bbox": [ + 141, + 365, + 469, + 377 + ], + "score": 1.0, + "content": "achieve the same performance or higher as regularized models and exhibits much", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 376, + 469, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 469, + 389 + ], + "score": 1.0, + "content": "higher adaptability to changes in the architecture and the amount of training data.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 12.5, + "bbox_fs": [ + 141, + 212, + 470, + 389 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 409, + 205, + 422 + ], + "lines": [ + { + "bbox": [ + 105, + 408, + 208, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 208, + 425 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 434, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "One of the central issues in machine learning research and application is finding ways of improving", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "generalization. Regularization, loosely defined as any modification applied to a learning algorithm that", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "helps prevent overfitting, plays therefore a key role in machine learning (Girosi et al., 1995; Müller,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 466, + 506, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 506, + 481 + ], + "score": 1.0, + "content": "2012). In the case of deep learning, where neural networks tend to have several orders of magnitude", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 478, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 506, + 491 + ], + "score": 1.0, + "content": "more parameters than training examples, statistical learning theory (Vapnik & Chervonenkis, 1971)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "indicates that regularization becomes even more crucial. Accordingly, a myriad of techniques have", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 501, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 417, + 513 + ], + "score": 1.0, + "content": "been proposed as regularizers: weight decay (Hanson & Pratt, 1989) and other", + "type": "text" + }, + { + "bbox": [ + 418, + 501, + 430, + 511 + ], + "score": 0.84, + "content": "L ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 501, + 505, + 513 + ], + "score": 1.0, + "content": "penalties; dropout", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "(Srivastava et al., 2014) and stochastic depth (Huang et al., 2016), to name a few examples. Moreover,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "score": 1.0, + "content": "whereas in simpler machine learning algorithms the regularizers can be easily identified as explicit", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 532, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 547 + ], + "score": 1.0, + "content": "terms in the objective function, in modern deep neural networks the sources of regularization are", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 545, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 506, + 557 + ], + "score": 1.0, + "content": "not only explicit, but implicit (Neyshabur et al., 2014). In this regard, many techniques have been", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 555, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 506, + 567 + ], + "score": 1.0, + "content": "studied for their regularization effect, despite not being explicitly intended as such. That is the case", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 566, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 506, + 578 + ], + "score": 1.0, + "content": "of unsupervised pre-training (Erhan et al., 2010), multi-task learning (Caruana, 1998), convolutional", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 591 + ], + "score": 1.0, + "content": "layers (LeCun et al., 1990), batch normalization (Ioffe & Szegedy, 2015) or adversarial training", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "(Szegedy et al., 2013). In sum, there are multiple elements in deep learning that contribute to reduce", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 600, + 282, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 282, + 611 + ], + "score": 1.0, + "content": "overfitting and thus improve generalization.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 434, + 506, + 611 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 616, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "Driven by the success of such techniques and the efficient use of GPUs, considerable research", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "effort has been devoted to finding ways of training deeper and wider networks with larger capacity", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 639, + 506, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 506, + 650 + ], + "score": 1.0, + "content": "(Simonyan & Zisserman, 2014; He et al., 2016; Zagoruyko & Komodakis, 2016). Ironically, the in-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "score": 1.0, + "content": "creased representational capacity is eventually reduced in practice by the use of explicit regularization,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "most commonly weight decay and dropout. It is known, for instance, that the gain in generalization", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "score": 1.0, + "content": "provided by dropout comes at the cost of using larger models and training for longer (Goodfellow", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "score": 1.0, + "content": "et al., 2016). Hence, it seems that with these standard regularization methods deep networks are", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 693, + 288, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 693, + 288, + 705 + ], + "score": 1.0, + "content": "wasting capacity (Dauphin & Bengio, 2013).", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 616, + 506, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 710, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Unlike explicit regularization, data augmentation improves generalization without reducing the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 735 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 735 + ], + "score": 1.0, + "content": "capacity of the model. Data augmentation, that is synthetically expanding a data set by apply-", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 83, + 505, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 94 + ], + "score": 1.0, + "content": "ing transformations on the available examples, has been long used in machine learning (Simard", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "et al., 1992) and identified as a critical component of many recent successful models, like AlexNet", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "score": 1.0, + "content": "(Krizhevsky et al., 2012), All-CNN (Springenberg et al., 2014) or ResNet (He et al., 2016), among", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "others. Although it is most popular in computer vision, data augmentation has also proven effective", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "in speech recognition (Jaitly & Hinton, 2013), music source separation (Uhlich et al., 2017) or text", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 151 + ], + "score": 1.0, + "content": "categorization (Lu et al., 2006). Today, data augmentation is an almost ubiquitous technique in deep", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 149, + 479, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 479, + 161 + ], + "score": 1.0, + "content": "learning, which can also be regarded as an implicit regularizer for it improves generalization.", + "type": "text", + "cross_page": true + } + ], + "index": 6 + } + ], + "index": 46.5, + "bbox_fs": [ + 105, + 709, + 506, + 735 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 160 + ], + "lines": [ + { + "bbox": [ + 105, + 83, + 505, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 94 + ], + "score": 1.0, + "content": "ing transformations on the available examples, has been long used in machine learning (Simard", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "et al., 1992) and identified as a critical component of many recent successful models, like AlexNet", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 118 + ], + "score": 1.0, + "content": "(Krizhevsky et al., 2012), All-CNN (Springenberg et al., 2014) or ResNet (He et al., 2016), among", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "others. Although it is most popular in computer vision, data augmentation has also proven effective", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "in speech recognition (Jaitly & Hinton, 2013), music source separation (Uhlich et al., 2017) or text", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 151 + ], + "score": 1.0, + "content": "categorization (Lu et al., 2006). Today, data augmentation is an almost ubiquitous technique in deep", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 149, + 479, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 479, + 161 + ], + "score": 1.0, + "content": "learning, which can also be regarded as an implicit regularizer for it improves generalization.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 165, + 505, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 507, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 507, + 178 + ], + "score": 1.0, + "content": "Recently, the deep learning community has become more aware of the importance of data aug-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "mentation (Hernández-García & König, 2018b) and new techniques, such as cutout (DeVries &", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "Taylor, 2017a) or augmentation in the feature space (DeVries & Taylor, 2017b), have been proposed.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "Very interestingly, a promising avenue for future research has been set by recently proposed models", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "that automatically learn the data transformations (Hauberg et al., 2016; Lemley et al., 2017; Ratner", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "score": 1.0, + "content": "et al., 2017; Antoniou et al., 2017). Nonetheless, another study by Perez & Wang (2017) analyzed", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "the performance of different techniques for object recognition and concluded that one of the most", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 242, + 491, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 491, + 254 + ], + "score": 1.0, + "content": "successful techniques so far is still the traditional data augmentation carried out in most studies.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 107, + 258, + 505, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 258, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 505, + 271 + ], + "score": 1.0, + "content": "However, despite its popularity, the literature lacks, to our knowledge, a systematic analysis of the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 269, + 506, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 506, + 283 + ], + "score": 1.0, + "content": "impact of data augmentation on convolutional neural networks compared to explicit regularization.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "It is a common practice to train the models with both explicit regularization, typically weight", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 290, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 306 + ], + "score": 1.0, + "content": "decay and dropout, and data augmentation, assuming they all complement each other. Zhang", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "score": 1.0, + "content": "et al. (2017) included data augmentation in their analysis of generalization of deep networks, but", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 313, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 506, + 327 + ], + "score": 1.0, + "content": "it was questionably considered an explicit regularizer similar to weight decay and dropout. To our", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "knowledge, the first time data augmentation and explicit regularization were systematically contrasted", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 349 + ], + "score": 1.0, + "content": "was the preliminary study by Hernández-García & König (2018b). The present work aims at largely", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 347, + 435, + 359 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 435, + 359 + ], + "score": 1.0, + "content": "extending that work both with more empirical results and a theoretical discussion.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 363, + 284, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 361, + 286, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 286, + 378 + ], + "score": 1.0, + "content": "Our specific contributions are the following:", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 133, + 383, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 132, + 382, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 132, + 382, + 505, + 396 + ], + "score": 1.0, + "content": "• Propose definitions of explicit and implicit regularization that aim at solving the ambiguity", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 395, + 254, + 406 + ], + "spans": [ + { + "bbox": [ + 141, + 395, + 254, + 406 + ], + "score": 1.0, + "content": "in the literature (Section 2).", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 132, + 408, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 132, + 408, + 505, + 421 + ], + "score": 1.0, + "content": "• A theoretical discussion based on statistical learning theory about the differences between", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 419, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 141, + 419, + 506, + 433 + ], + "score": 1.0, + "content": "explicit regularization and data augmentation, highlighting the advantages of the latter", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 430, + 190, + 442 + ], + "spans": [ + { + "bbox": [ + 141, + 430, + 190, + 442 + ], + "score": 1.0, + "content": "(Section 3).", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 136, + 443, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 136, + 443, + 506, + 457 + ], + "score": 1.0, + "content": "• An empirical analysis of the performance of models trained with and without explicit regular-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 141, + 456, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 141, + 456, + 506, + 468 + ], + "score": 1.0, + "content": "ization, and different levels of data augmentation on several benchmarks (Sections 4 and 5).", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 466, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 141, + 466, + 505, + 479 + ], + "score": 1.0, + "content": "Further, we study their adaptability to learning from fewer examples (Section 5.2) and to", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 477, + 307, + 489 + ], + "spans": [ + { + "bbox": [ + 141, + 477, + 307, + 489 + ], + "score": 1.0, + "content": "changes in the architecture (Section 5.3).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 132, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 132, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "• A discussion on why encouraging data augmentation instead of explicit regularization can", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 141, + 503, + 387, + 516 + ], + "spans": [ + { + "bbox": [ + 141, + 503, + 387, + 516 + ], + "score": 1.0, + "content": "benefit both theory and practice in deep learning (Section 6).", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30 + }, + { + "type": "title", + "bbox": [ + 107, + 530, + 346, + 542 + ], + "lines": [ + { + "bbox": [ + 104, + 528, + 348, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 528, + 348, + 545 + ], + "score": 1.0, + "content": "2 EXPLICIT AND IMPLICIT REGULARIZATION", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 554, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 505, + 568 + ], + "score": 1.0, + "content": "Zhang et al. (2017) raised the thought-provoking idea that “explicit regularization may improve", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "generalization performance, but is neither necessary nor by itself sufficient for controlling general-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "ization error.” The authors came to this conclusion from the observation that turning off the explicit", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "regularizers of a model does not prevent the model from generalizing reasonably well. This contrasts", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "score": 1.0, + "content": "with traditional machine learning involving convex optimization, where regularization is necessary to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "avoid overfitting and generalize (Vapnik & Chervonenkis, 1971). Such observation led the authors to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 619, + 449, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 449, + 634 + ], + "score": 1.0, + "content": "suggest the need for “rethinking generalization” in order to understand deep learning.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 636, + 505, + 714 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "We argue it is not necessary to rethink generalization if we instead rethink regularization and, in", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "score": 1.0, + "content": "particular, data augmentation. Despite their thorough analysis and relevant conclusions, Zhang et al.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "score": 1.0, + "content": "(2017) arguably underestimated the role of implicit regularization and considered data augmentation", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 670, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 683 + ], + "score": 1.0, + "content": "an explicit form of regularization much like weight decay and dropout. This illustrates that the terms", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 680, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 694 + ], + "score": 1.0, + "content": "explicit and implicit regularization have been used subjectively and inconsistently in the literature", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 690, + 505, + 706 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 505, + 706 + ], + "score": 1.0, + "content": "before. In order to avoid the ambiguity and facilitate the discussion, we propose the following", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 703, + 309, + 715 + ], + "spans": [ + { + "bbox": [ + 105, + 703, + 309, + 715 + ], + "score": 1.0, + "content": "definitions of explicit and implicit regularization1:", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 47 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 118, + 721, + 416, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 719, + 417, + 735 + ], + "spans": [ + { + "bbox": [ + 118, + 719, + 417, + 735 + ], + "score": 1.0, + "content": "1See Appendix E for a short, additional discussion on the regularization taxonomy", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 13, + "width": 8 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 160 + ], + "lines": [], + "index": 3, + "bbox_fs": [ + 105, + 83, + 506, + 161 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 165, + 505, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 507, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 507, + 178 + ], + "score": 1.0, + "content": "Recently, the deep learning community has become more aware of the importance of data aug-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "mentation (Hernández-García & König, 2018b) and new techniques, such as cutout (DeVries &", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "Taylor, 2017a) or augmentation in the feature space (DeVries & Taylor, 2017b), have been proposed.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "Very interestingly, a promising avenue for future research has been set by recently proposed models", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "that automatically learn the data transformations (Hauberg et al., 2016; Lemley et al., 2017; Ratner", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "score": 1.0, + "content": "et al., 2017; Antoniou et al., 2017). Nonetheless, another study by Perez & Wang (2017) analyzed", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "the performance of different techniques for object recognition and concluded that one of the most", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 242, + 491, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 491, + 254 + ], + "score": 1.0, + "content": "successful techniques so far is still the traditional data augmentation carried out in most studies.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 164, + 507, + 254 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 258, + 505, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 258, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 505, + 271 + ], + "score": 1.0, + "content": "However, despite its popularity, the literature lacks, to our knowledge, a systematic analysis of the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 269, + 506, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 506, + 283 + ], + "score": 1.0, + "content": "impact of data augmentation on convolutional neural networks compared to explicit regularization.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "It is a common practice to train the models with both explicit regularization, typically weight", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 290, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 306 + ], + "score": 1.0, + "content": "decay and dropout, and data augmentation, assuming they all complement each other. Zhang", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 316 + ], + "score": 1.0, + "content": "et al. (2017) included data augmentation in their analysis of generalization of deep networks, but", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 313, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 506, + 327 + ], + "score": 1.0, + "content": "it was questionably considered an explicit regularizer similar to weight decay and dropout. To our", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "knowledge, the first time data augmentation and explicit regularization were systematically contrasted", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 505, + 349 + ], + "score": 1.0, + "content": "was the preliminary study by Hernández-García & König (2018b). The present work aims at largely", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 347, + 435, + 359 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 435, + 359 + ], + "score": 1.0, + "content": "extending that work both with more empirical results and a theoretical discussion.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 258, + 506, + 359 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 363, + 284, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 361, + 286, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 286, + 378 + ], + "score": 1.0, + "content": "Our specific contributions are the following:", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 361, + 286, + 378 + ] + }, + { + "type": "list", + "bbox": [ + 133, + 383, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 132, + 382, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 132, + 382, + 505, + 396 + ], + "score": 1.0, + "content": "• Propose definitions of explicit and implicit regularization that aim at solving the ambiguity", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 395, + 254, + 406 + ], + "spans": [ + { + "bbox": [ + 141, + 395, + 254, + 406 + ], + "score": 1.0, + "content": "in the literature (Section 2).", + "type": "text" + } + ], + "index": 26, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 408, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 132, + 408, + 505, + 421 + ], + "score": 1.0, + "content": "• A theoretical discussion based on statistical learning theory about the differences between", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 419, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 141, + 419, + 506, + 433 + ], + "score": 1.0, + "content": "explicit regularization and data augmentation, highlighting the advantages of the latter", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 430, + 190, + 442 + ], + "spans": [ + { + "bbox": [ + 141, + 430, + 190, + 442 + ], + "score": 1.0, + "content": "(Section 3).", + "type": "text" + } + ], + "index": 29, + "is_list_end_line": true + }, + { + "bbox": [ + 136, + 443, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 136, + 443, + 506, + 457 + ], + "score": 1.0, + "content": "• An empirical analysis of the performance of models trained with and without explicit regular-", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 456, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 141, + 456, + 506, + 468 + ], + "score": 1.0, + "content": "ization, and different levels of data augmentation on several benchmarks (Sections 4 and 5).", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 466, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 141, + 466, + 505, + 479 + ], + "score": 1.0, + "content": "Further, we study their adaptability to learning from fewer examples (Section 5.2) and to", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 477, + 307, + 489 + ], + "spans": [ + { + "bbox": [ + 141, + 477, + 307, + 489 + ], + "score": 1.0, + "content": "changes in the architecture (Section 5.3).", + "type": "text" + } + ], + "index": 33, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 132, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "• A discussion on why encouraging data augmentation instead of explicit regularization can", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 503, + 387, + 516 + ], + "spans": [ + { + "bbox": [ + 141, + 503, + 387, + 516 + ], + "score": 1.0, + "content": "benefit both theory and practice in deep learning (Section 6).", + "type": "text" + } + ], + "index": 35, + "is_list_end_line": true + } + ], + "index": 30, + "bbox_fs": [ + 132, + 382, + 506, + 516 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 530, + 346, + 542 + ], + "lines": [ + { + "bbox": [ + 104, + 528, + 348, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 528, + 348, + 545 + ], + "score": 1.0, + "content": "2 EXPLICIT AND IMPLICIT REGULARIZATION", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 554, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 505, + 568 + ], + "score": 1.0, + "content": "Zhang et al. (2017) raised the thought-provoking idea that “explicit regularization may improve", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "generalization performance, but is neither necessary nor by itself sufficient for controlling general-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "ization error.” The authors came to this conclusion from the observation that turning off the explicit", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "regularizers of a model does not prevent the model from generalizing reasonably well. This contrasts", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "score": 1.0, + "content": "with traditional machine learning involving convex optimization, where regularization is necessary to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "avoid overfitting and generalize (Vapnik & Chervonenkis, 1971). Such observation led the authors to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 619, + 449, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 449, + 634 + ], + "score": 1.0, + "content": "suggest the need for “rethinking generalization” in order to understand deep learning.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 553, + 506, + 634 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 636, + 505, + 714 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "We argue it is not necessary to rethink generalization if we instead rethink regularization and, in", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "score": 1.0, + "content": "particular, data augmentation. Despite their thorough analysis and relevant conclusions, Zhang et al.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "score": 1.0, + "content": "(2017) arguably underestimated the role of implicit regularization and considered data augmentation", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 670, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 683 + ], + "score": 1.0, + "content": "an explicit form of regularization much like weight decay and dropout. This illustrates that the terms", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 680, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 694 + ], + "score": 1.0, + "content": "explicit and implicit regularization have been used subjectively and inconsistently in the literature", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 690, + 505, + 706 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 505, + 706 + ], + "score": 1.0, + "content": "before. In order to avoid the ambiguity and facilitate the discussion, we propose the following", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 703, + 309, + 715 + ], + "spans": [ + { + "bbox": [ + 105, + 703, + 309, + 715 + ], + "score": 1.0, + "content": "definitions of explicit and implicit regularization1:", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 637, + 506, + 715 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 134, + 82, + 504, + 127 + ], + "lines": [ + { + "bbox": [ + 133, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 133, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "• Explicit regularization techniques are those which reduce the representational capacity", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 142, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 142, + 94, + 400, + 106 + ], + "score": 1.0, + "content": "of the model they are applied on. That is, given a model class", + "type": "text" + }, + { + "bbox": [ + 400, + 94, + 414, + 105 + ], + "score": 0.88, + "content": "\\mathcal { H } _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 94, + 505, + 106 + ], + "score": 1.0, + "content": ", for instance a neural", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 142, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 142, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "network architecture, the introduction of explicit regularization will span a new hypothesis", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 115, + 407, + 128 + ], + "spans": [ + { + "bbox": [ + 141, + 115, + 155, + 128 + ], + "score": 1.0, + "content": "set", + "type": "text" + }, + { + "bbox": [ + 156, + 115, + 170, + 127 + ], + "score": 0.89, + "content": "\\mathcal { H } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 115, + 362, + 128 + ], + "score": 1.0, + "content": ", which is a proper subset of the original set, i.e.", + "type": "text" + }, + { + "bbox": [ + 362, + 115, + 403, + 127 + ], + "score": 0.92, + "content": "\\mathcal { H } _ { 1 } \\subsetneq \\mathcal { H } _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 115, + 407, + 128 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 133, + 131, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 133, + 132, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 133, + 132, + 506, + 144 + ], + "score": 1.0, + "content": "• Implicit regularization is the reduction of the generalization error or overfitting provided", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 141, + 142, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 141, + 142, + 506, + 156 + ], + "score": 1.0, + "content": "by means other than explicit regularization techniques. Elements that provide implicit regu-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 153, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 141, + 153, + 505, + 166 + ], + "score": 1.0, + "content": "larization do not reduce the representational capacity, but may affect the effective capacity", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 164, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 141, + 164, + 505, + 177 + ], + "score": 1.0, + "content": "of the model, that is the achievable set of hypotheses given the model, the optimization", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 142, + 176, + 274, + 189 + ], + "spans": [ + { + "bbox": [ + 142, + 176, + 274, + 189 + ], + "score": 1.0, + "content": "algorithm, hyperparameters, etc.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 196, + 505, + 274 + ], + "lines": [ + { + "bbox": [ + 106, + 196, + 506, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 435, + 209 + ], + "score": 1.0, + "content": "One of the most common explicit regularization techniques in machine learning is", + "type": "text" + }, + { + "bbox": [ + 435, + 198, + 447, + 207 + ], + "score": 0.85, + "content": "L ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 196, + 506, + 209 + ], + "score": 1.0, + "content": "-norm regular-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 208, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 221 + ], + "score": 1.0, + "content": "ization, of which weight decay is a particular case, widely used in deep learning. Weight decay sets a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 218, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 165, + 232 + ], + "score": 1.0, + "content": "penalty on the", + "type": "text" + }, + { + "bbox": [ + 166, + 218, + 178, + 229 + ], + "score": 0.89, + "content": "L ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 218, + 505, + 232 + ], + "score": 1.0, + "content": "norm of the learnable parameters, thus constraining the representational capacity", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 231, + 504, + 242 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 504, + 242 + ], + "score": 1.0, + "content": "of the model. Dropout is another common example of explicit regularization, where the hypothesis", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "score": 1.0, + "content": "set is reduced by stochastically deactivating a number of neurons during training. Similar to dropout,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "score": 1.0, + "content": "stochastic depth, which drops whole layers instead of neurons, is also an explicit regularization", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 261, + 151, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 151, + 278 + ], + "score": 1.0, + "content": "technique.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 279, + 506, + 368 + ], + "lines": [ + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "There are multiple elements in deep neural networks that implicitly regularize the models. Note, in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 291, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 506, + 303 + ], + "score": 1.0, + "content": "this regard, that the above definition, contrary to explicit regularization, does not refer to techniques,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 302, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 506, + 314 + ], + "score": 1.0, + "content": "but to a regularization effect, as it can be provided by elements of very different nature. For", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 313, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 506, + 325 + ], + "score": 1.0, + "content": "instance, stochastic gradient descent (SGD) is known to have an implicit regularization effect without", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 323, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 506, + 336 + ], + "score": 1.0, + "content": "constraining the representational capacity. Batch normalization does not either reduce the capacity,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "score": 1.0, + "content": "but it improves generalization by smoothing the optimization landscape Santurkar et al. (2018). Of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "quite a different nature, but still implicit, is the regularization effect provided by early stopping, which", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 356, + 358, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 358, + 370 + ], + "score": 1.0, + "content": "does not reduce the representational, but the effective capacity.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 373, + 505, + 451 + ], + "lines": [ + { + "bbox": [ + 105, + 372, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 386 + ], + "score": 1.0, + "content": "By analyzing the literature, we identified some previous pieces of work which, lacking a definition of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "explicit and implicit regularization, made a distinction apparently based on the mere intention of the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 395, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 506, + 408 + ], + "score": 1.0, + "content": "practitioner. Under such notion, data augmentation has been considered in some cases an explicit", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "score": 1.0, + "content": "regularization technique, as in Zhang et al. (2017). Here, we have provided definitions for explicit", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "and implicit regularization based on their effect on the representational capacity and argue that data", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 429, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 505, + 441 + ], + "score": 1.0, + "content": "augmentation is not explicit, but implicit regularization, since it does not affect the representational", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 440, + 198, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 198, + 452 + ], + "score": 1.0, + "content": "capacity of the model.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 108, + 468, + 252, + 481 + ], + "lines": [ + { + "bbox": 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complexity", + "type": "text" + }, + { + "bbox": [ + 357, + 505, + 473, + 525 + ], + "score": 0.93, + "content": "\\mathcal { \\bar { R } } _ { n } ( \\mathcal { H } ) = \\mathbb { E } _ { S \\sim D ^ { n } } \\left[ \\hat { \\mathcal { R } } _ { S } ( \\mathcal { H } ) \\right]", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 503, + 508, + 525 + ], + "score": 1.0, + "content": ", where:", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5 + }, + { + "type": "interline_equation", + "bbox": [ + 228, + 534, + 382, + 569 + ], + "lines": [ + { + "bbox": [ + 228, + 534, + 382, + 569 + ], + "spans": [ + { + "bbox": [ + 228, + 534, + 382, + 569 + ], + "score": 0.95, + "content": "\\hat { \\mathcal { R } } _ { S } ( \\mathcal { H } ) = \\mathbb { E } _ { \\sigma } \\left[ \\operatorname* { s u p } _ { h \\in \\mathcal { H } } \\left| \\frac { 1 } { n } \\sum _ { i = 1 } ^ { n } \\sigma _ { i } h ( x _ { i } ) \\right| \\right]", + "type": "interline_equation", + 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Tighter bounds for some model classes, such as fully connected neural", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 249, + 694 + ], + "score": 1.0, + "content": "networks, can be obtained (Bartlett", + "type": "text" + }, + { + "bbox": [ + 249, + 682, + 258, + 691 + ], + "score": 0.35, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 681, + 505, + 694 + ], + "score": 1.0, + "content": "Mendelson, 2002), but it is not trivial to formally analyze the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 692, + 372, + 706 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 372, + 706 + ], + "score": 1.0, + "content": "influence on generalization of specific architectures or techniques.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Nonetheless, we can use these theoretical insights to discuss the differences between explicit", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "regularization—particularly weight decay and dropout—and implicit regularization—particularly", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 134, + 82, + 504, + 127 + ], + "lines": [ + { + "bbox": [ + 133, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 133, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "• Explicit regularization techniques are those which reduce the representational capacity", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 142, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 142, + 94, + 400, + 106 + ], + "score": 1.0, + "content": "of the model they are applied on. 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Elements that provide implicit regu-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 153, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 141, + 153, + 505, + 166 + ], + "score": 1.0, + "content": "larization do not reduce the representational capacity, but may affect the effective capacity", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 164, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 141, + 164, + 505, + 177 + ], + "score": 1.0, + "content": "of the model, that is the achievable set of hypotheses given the model, the optimization", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 142, + 176, + 274, + 189 + ], + "spans": [ + { + "bbox": [ + 142, + 176, + 274, + 189 + ], + "score": 1.0, + "content": "algorithm, hyperparameters, etc.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6, + "bbox_fs": [ + 133, + 132, + 506, + 189 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 196, + 505, + 274 + ], + "lines": [ + { + "bbox": [ + 106, + 196, + 506, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 435, + 209 + ], + "score": 1.0, + "content": "One of the most common explicit regularization techniques in machine learning is", + "type": "text" + }, + { + "bbox": [ + 435, + 198, + 447, + 207 + ], + "score": 0.85, + "content": "L ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 196, + 506, + 209 + ], + "score": 1.0, + "content": "-norm regular-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 208, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 221 + ], + "score": 1.0, + "content": "ization, of which weight decay is a particular case, widely used in deep learning. 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Dropout is another common example of explicit regularization, where the hypothesis", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "score": 1.0, + "content": "set is reduced by stochastically deactivating a number of neurons during training. Similar to dropout,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "score": 1.0, + "content": "stochastic depth, which drops whole layers instead of neurons, is also an explicit regularization", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 261, + 151, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 151, + 278 + ], + "score": 1.0, + "content": "technique.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 196, + 506, + 278 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 279, + 506, + 368 + ], + "lines": [ + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "There are multiple elements in deep neural networks that implicitly regularize the models. Note, in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 291, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 506, + 303 + ], + "score": 1.0, + "content": "this regard, that the above definition, contrary to explicit regularization, does not refer to techniques,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 302, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 506, + 314 + ], + "score": 1.0, + "content": "but to a regularization effect, as it can be provided by elements of very different nature. For", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 313, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 506, + 325 + ], + "score": 1.0, + "content": "instance, stochastic gradient descent (SGD) is known to have an implicit regularization effect without", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 323, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 323, + 506, + 336 + ], + "score": 1.0, + "content": "constraining the representational capacity. Batch normalization does not either reduce the capacity,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "score": 1.0, + "content": "but it improves generalization by smoothing the optimization landscape Santurkar et al. (2018). Of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "quite a different nature, but still implicit, is the regularization effect provided by early stopping, which", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 356, + 358, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 358, + 370 + ], + "score": 1.0, + "content": "does not reduce the representational, but the effective capacity.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 279, + 506, + 370 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 373, + 505, + 451 + ], + "lines": [ + { + "bbox": [ + 105, + 372, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 386 + ], + "score": 1.0, + "content": "By analyzing the literature, we identified some previous pieces of work which, lacking a definition of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "explicit and implicit regularization, made a distinction apparently based on the mere intention of the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 395, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 506, + 408 + ], + "score": 1.0, + "content": "practitioner. Under such notion, data augmentation has been considered in some cases an explicit", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "score": 1.0, + "content": "regularization technique, as in Zhang et al. (2017). 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Recently,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "Mou et al. (2018) have established new generalization bounds on the variance induced by a particular", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "score": 1.0, + "content": "type of dropout on feedforward neural network. Nevertheless, dropout can also be analyzed as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "a random form of data augmentation without domain knowledge Bouthillier et al. 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For instance, it has been shown that linear models", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 523, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 535 + ], + "score": 1.0, + "content": "optimized with SGD converge to solutions with small norm, without any explicit regularization", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "(Zhang et al., 2017). 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Crucially, while data augmentation exploits domain knowledge,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "most explicit regularization methods only naively constrain the hypothesis class. For instance, weight", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 264, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 257, + 276 + ], + "score": 1.0, + "content": "decay constrains the learnable models", + "type": "text" + }, + { + "bbox": [ + 258, + 264, + 267, + 274 + ], + "score": 0.77, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 264, + 506, + 276 + ], + "score": 1.0, + "content": "by setting a penalty on the weights norm. 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(2017) have recently shown that weight decay has little impact on the generalization bounds", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 285, + 206, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 206, + 299 + ], + "score": 1.0, + "content": "and confidence margins.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 220, + 506, + 299 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 303, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "Dropout has been extensively used and studied as a regularization method for neural networks", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 314, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 314, + 505, + 326 + ], + "score": 1.0, + "content": "(Wager et al., 2013), but the exact way in which dropout may improve generalization is still an open", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "score": 1.0, + "content": "question and it has been concluded that the effects of dropout on neural networks are somewhat", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 334, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 104, + 334, + 506, + 349 + ], + "score": 1.0, + "content": "mysterious, complicated and its penalty highly non-convex (Helmbold & Long, 2017). Recently,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "Mou et al. (2018) have established new generalization bounds on the variance induced by a particular", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 506, + 371 + ], + "score": 1.0, + "content": "type of dropout on feedforward neural network. Nevertheless, dropout can also be analyzed as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "a random form of data augmentation without domain knowledge Bouthillier et al. 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Therefore, any generalization bound derived for dropout can be", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 390, + 433, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 433, + 404 + ], + "score": 1.0, + "content": "regarded as a pessimistic bound for domain-specific, standard data augmentation.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23, + "bbox_fs": [ + 104, + 303, + 506, + 404 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 505, + 473 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "A similar argument applies for weight decay, which, as first shown by Bishop (1995), is equivalent to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 419, + 504, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 504, + 430 + ], + "score": 1.0, + "content": "training with noisy examples if the noise amplitude is small and the objective is the sum-of-squares", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 429, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 506, + 442 + ], + "score": 1.0, + "content": "error function. 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In the remainder of the paper, we present a set of experiments that shed more", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 545, + 415, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 415, + 558 + ], + "score": 1.0, + "content": "light on the advantages of data augmentation over weight decay and dropout.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 479, + 506, + 558 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 573, + 178, + 586 + ], + "lines": [ + { + "bbox": [ + 105, + 572, + 180, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 180, + 588 + ], + "score": 1.0, + "content": "4 METHODS", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 600, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 507, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 507, + 613 + ], + "score": 1.0, + "content": "This section describes the experimental setup for systematically analyzing the role of data augmenta-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 610, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 505, + 622 + ], + "score": 1.0, + "content": "tion in deep neural networks compared to weight decay and dropout and builds upon the methods", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 621, + 453, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 453, + 633 + ], + "score": 1.0, + "content": "used in preliminary studies (Hernández-García & König, 2018a;b; Zhang et al., 2017).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 599, + 507, + 633 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 648, + 252, + 658 + ], + "lines": [ + { + "bbox": [ + 106, + 646, + 253, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 253, + 659 + ], + "score": 1.0, + "content": "4.1 NETWORK ARCHITECTURES", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 108, + 668, + 505, + 691 + ], + "lines": [ + { + "bbox": [ + 107, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 107, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "We perform our experiments on three distinct, popular architectures that have achieved successful", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 678, + 506, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 693 + ], + "score": 1.0, + "content": "results in object recognition tasks: the all convolutional network, All-CNN (Springenberg et al.,", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46.5, + "bbox_fs": [ + 106, + 668, + 506, + 693 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 108, + 82, + 505, + 137 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "2014); the wide residual network, WRN (Zagoruyko & Komodakis, 2016); and the densely connected", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "score": 1.0, + "content": "network, DenseNet (Huang et al., 2017). 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Below we present the main features of each network and more details can be found in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 220, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 220, + 139 + ], + "score": 1.0, + "content": "the supplementary material.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 133, + 148, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 134, + 147, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 134, + 147, + 506, + 161 + ], + "score": 1.0, + "content": "• All-CNN: it consists only of convolutional layers with ReLU activation (Glorot et al., 2011),", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 141, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "it is relatively shallow and has few parameters. For ImageNet, the network has 16 layers", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 141, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "and 9.4 million parameters; for CIFAR, it has 12 layers and 1.3 million parameters. In our", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 141, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "experiments to compare the adaptability of data augmentation and explicit regularization", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 142, + 193, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 142, + 193, + 505, + 204 + ], + "score": 1.0, + "content": "to changes in the architecture, we also test a shallower version, with 9 layers and 374,000", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 203, + 450, + 216 + ], + "spans": [ + { + "bbox": [ + 141, + 203, + 450, + 216 + ], + "score": 1.0, + "content": "parameters, and a deeper version, with 15 layers and 2.4 million parameters.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 139, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 139, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "WRN: a residual network, ResNet (He et al., 2016), that achieves better performance with", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 229, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 141, + 229, + 505, + 241 + ], + "score": 1.0, + "content": "fewer layers, but more units per layer. Here, we choose for our experiments the WRN-28-10", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 240, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 142, + 240, + 263, + 252 + ], + "score": 1.0, + "content": "version (28 layers and about", + "type": "text" + }, + { + "bbox": [ + 263, + 240, + 295, + 251 + ], + "score": 0.53, + "content": "3 6 . 5 \\mathrm { ~ M ~ }", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 240, + 505, + 252 + ], + "score": 1.0, + "content": "parameters), which is reported to achieve the best", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 252, + 217, + 262 + ], + "spans": [ + { + "bbox": [ + 141, + 252, + 217, + 262 + ], + "score": 1.0, + "content": "results on CIFAR.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 138, + 266, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 138, + 266, + 505, + 279 + ], + "score": 1.0, + "content": "DenseNet: a network architecture arranged in blocks whose layers are connected to all", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 277, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 141, + 277, + 505, + 289 + ], + "score": 1.0, + "content": "previous layers, allowing for very deep architectures with few parameters. Specifically, for", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 141, + 288, + 381, + 300 + ], + "score": 1.0, + "content": "our experiments we use a DenseNet-BC with growth rate", + "type": "text" + }, + { + "bbox": [ + 381, + 288, + 414, + 298 + ], + "score": 0.92, + "content": "k = 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "and 16 layers in each", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 298, + 344, + 311 + ], + "spans": [ + { + "bbox": [ + 141, + 298, + 344, + 311 + ], + "score": 1.0, + "content": "block, which has a total of 0.8 million parameters.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 107, + 323, + 155, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 321, + 158, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 158, + 336 + ], + "score": 1.0, + "content": "4.2 DATA", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 106, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "We perform the experiments on the highly benchmarked data sets ImageNet (Russakovsky et al.,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 479, + 368 + ], + "score": 1.0, + "content": "2015) ILSVRC 2012, CIFAR-10 and CIFAR-100 (Krizhevsky & Hinton, 2009). We resize the", + "type": "text" + }, + { + "bbox": [ + 479, + 355, + 505, + 366 + ], + "score": 0.62, + "content": "1 . 3 { \\bf M }", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 366, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 220, + 379 + ], + "score": 1.0, + "content": "images from ImageNet into", + "type": "text" + }, + { + "bbox": [ + 221, + 366, + 264, + 377 + ], + "score": 0.9, + "content": "1 5 0 \\times 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 366, + 505, + 379 + ], + "score": 1.0, + "content": "pixels, as a compromise between keeping a high resolution", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 376, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 392 + ], + "score": 1.0, + "content": "and speeding up the training. Both on ImageNet and on CIFAR, the pixel values are in the range", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 388, + 270, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 270, + 401 + ], + "score": 1.0, + "content": "[0, 1] and have 32 bits floating precision.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 405, + 504, + 428 + ], + "lines": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "So as to analyze the role of data augmentation, we train every network architecture with two different", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 374, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 374, + 428 + ], + "score": 1.0, + "content": "augmentation schemes as well as with no data augmentation at all:", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 133, + 437, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 134, + 437, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 134, + 437, + 505, + 449 + ], + "score": 1.0, + "content": "• Light augmentation: This scheme is common in the literature, for example (Goodfellow", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 447, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 141, + 447, + 506, + 461 + ], + "score": 1.0, + "content": "et al., 2013; Springenberg et al., 2014), and performs only horizontal flips and horizontal", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 458, + 344, + 472 + ], + "spans": [ + { + "bbox": [ + 141, + 458, + 251, + 472 + ], + "score": 1.0, + "content": "and vertical translations of", + "type": "text" + }, + { + "bbox": [ + 251, + 459, + 270, + 470 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 458, + 344, + 472 + ], + "score": 1.0, + "content": "of the image size.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 136, + 474, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 136, + 474, + 506, + 487 + ], + "score": 1.0, + "content": "• Heavier augmentation: This scheme performs a larger range of affine transformations such", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 141, + 486, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 141, + 486, + 506, + 497 + ], + "score": 1.0, + "content": "as scaling, rotations and shear mappings, as well as contrast and brightness adjustment.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 142, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 142, + 495, + 372, + 507 + ], + "score": 1.0, + "content": "On ImageNet we additionally perform a random crop of", + "type": "text" + }, + { + "bbox": [ + 373, + 496, + 416, + 506 + ], + "score": 0.9, + "content": "1 2 8 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "pixels. The choice of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 141, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "the allowed transformations is arbitrary and the only criterion was that the objects are still", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 141, + 518, + 508, + 531 + ], + "spans": [ + { + "bbox": [ + 141, + 518, + 508, + 531 + ], + "score": 1.0, + "content": "recognizable in general. We deliberately avoid designing a particularly successful scheme.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 141, + 528, + 471, + 541 + ], + "spans": [ + { + "bbox": [ + 141, + 528, + 471, + 541 + ], + "score": 1.0, + "content": "The details of the heavier scheme can be consulted in the supplementary material.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 107, + 553, + 206, + 565 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 207, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 207, + 567 + ], + "score": 1.0, + "content": "4.3 TRAIN AND TEST", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 640 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "Every architecture is trained on each data set both with explicit regularization—weight decay and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "dropout as specified in the original papers—and with no explicit regularization. Furthermore, we train", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "each model with the three data augmentation schemes. The performance of the models is computed", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 605, + 507, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 507, + 621 + ], + "score": 1.0, + "content": "on the held out test tests. As in previous works (Krizhevsky et al., 2012; Simonyan & Zisserman,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "2014), we average the softmax posteriors over 10 random light augmentations, since slightly better", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 629, + 189, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 189, + 641 + ], + "score": 1.0, + "content": "results are obtained.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 505, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "score": 1.0, + "content": "All the experiments are performed on Keras (Chollet et al., 2015) on top of TensorFlow (Abadi et al.,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 657, + 350, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 350, + 668 + ], + "score": 1.0, + "content": "2015) and on a single GPU NVIDIA GeForce GTX 1080 Ti.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43.5 + }, + { + "type": "title", + "bbox": [ + 108, + 684, + 172, + 697 + ], + "lines": [ + { + "bbox": [ + 104, + 683, + 174, + 700 + ], + "spans": [ + { + "bbox": [ + 104, + 683, + 174, + 700 + ], + "score": 1.0, + "content": "5 RESULTS", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "score": 1.0, + "content": "This section presents the most relevant results of the experiments comparing the roles of data", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "augmentation and explicit regularization on convolutional neural networks. First, we present the", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46.5 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 108, + 82, + 505, + 137 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "2014); the wide residual network, WRN (Zagoruyko & Komodakis, 2016); and the densely connected", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 107 + ], + "score": 1.0, + "content": "network, DenseNet (Huang et al., 2017). Importantly, we keep the same training hyper-parameters", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "score": 1.0, + "content": "(learning rate, training epochs, batch size, optimizer, etc.) as in the original papers in the cases they", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 116, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 127 + ], + "score": 1.0, + "content": "are reported. Below we present the main features of each network and more details can be found in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 220, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 220, + 139 + ], + "score": 1.0, + "content": "the supplementary material.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 83, + 506, + 139 + ] + }, + { + "type": "list", + "bbox": [ + 133, + 148, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 134, + 147, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 134, + 147, + 506, + 161 + ], + "score": 1.0, + "content": "• All-CNN: it consists only of convolutional layers with ReLU activation (Glorot et al., 2011),", + "type": "text" + } + ], + "index": 5, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 159, + 505, + 171 + ], + "spans": [ + { + "bbox": [ + 141, + 159, + 505, + 171 + ], + "score": 1.0, + "content": "it is relatively shallow and has few parameters. For ImageNet, the network has 16 layers", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 141, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "and 9.4 million parameters; for CIFAR, it has 12 layers and 1.3 million parameters. In our", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 141, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "experiments to compare the adaptability of data augmentation and explicit regularization", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 142, + 193, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 142, + 193, + 505, + 204 + ], + "score": 1.0, + "content": "to changes in the architecture, we also test a shallower version, with 9 layers and 374,000", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 203, + 450, + 216 + ], + "spans": [ + { + "bbox": [ + 141, + 203, + 450, + 216 + ], + "score": 1.0, + "content": "parameters, and a deeper version, with 15 layers and 2.4 million parameters.", + "type": "text" + } + ], + "index": 10, + "is_list_end_line": true + }, + { + "bbox": [ + 139, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 139, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "WRN: a residual network, ResNet (He et al., 2016), that achieves better performance with", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 229, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 141, + 229, + 505, + 241 + ], + "score": 1.0, + "content": "fewer layers, but more units per layer. Here, we choose for our experiments the WRN-28-10", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 240, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 142, + 240, + 263, + 252 + ], + "score": 1.0, + "content": "version (28 layers and about", + "type": "text" + }, + { + "bbox": [ + 263, + 240, + 295, + 251 + ], + "score": 0.53, + "content": "3 6 . 5 \\mathrm { ~ M ~ }", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 240, + 505, + 252 + ], + "score": 1.0, + "content": "parameters), which is reported to achieve the best", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 252, + 217, + 262 + ], + "spans": [ + { + "bbox": [ + 141, + 252, + 217, + 262 + ], + "score": 1.0, + "content": "results on CIFAR.", + "type": "text" + } + ], + "index": 14, + "is_list_end_line": true + }, + { + "bbox": [ + 138, + 266, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 138, + 266, + 505, + 279 + ], + "score": 1.0, + "content": "DenseNet: a network architecture arranged in blocks whose layers are connected to all", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 277, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 141, + 277, + 505, + 289 + ], + "score": 1.0, + "content": "previous layers, allowing for very deep architectures with few parameters. Specifically, for", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 141, + 288, + 381, + 300 + ], + "score": 1.0, + "content": "our experiments we use a DenseNet-BC with growth rate", + "type": "text" + }, + { + "bbox": [ + 381, + 288, + 414, + 298 + ], + "score": 0.92, + "content": "k = 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "and 16 layers in each", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 298, + 344, + 311 + ], + "spans": [ + { + "bbox": [ + 141, + 298, + 344, + 311 + ], + "score": 1.0, + "content": "block, which has a total of 0.8 million parameters.", + "type": "text" + } + ], + "index": 18, + "is_list_end_line": true + } + ], + "index": 11.5, + "bbox_fs": [ + 134, + 147, + 506, + 311 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 323, + 155, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 321, + 158, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 158, + 336 + ], + "score": 1.0, + "content": "4.2 DATA", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 106, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "We perform the experiments on the highly benchmarked data sets ImageNet (Russakovsky et al.,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 479, + 368 + ], + "score": 1.0, + "content": "2015) ILSVRC 2012, CIFAR-10 and CIFAR-100 (Krizhevsky & Hinton, 2009). We resize the", + "type": "text" + }, + { + "bbox": [ + 479, + 355, + 505, + 366 + ], + "score": 0.62, + "content": "1 . 3 { \\bf M }", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 366, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 220, + 379 + ], + "score": 1.0, + "content": "images from ImageNet into", + "type": "text" + }, + { + "bbox": [ + 221, + 366, + 264, + 377 + ], + "score": 0.9, + "content": "1 5 0 \\times 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 366, + 505, + 379 + ], + "score": 1.0, + "content": "pixels, as a compromise between keeping a high resolution", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 376, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 392 + ], + "score": 1.0, + "content": "and speeding up the training. Both on ImageNet and on CIFAR, the pixel values are in the range", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 388, + 270, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 270, + 401 + ], + "score": 1.0, + "content": "[0, 1] and have 32 bits floating precision.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 344, + 506, + 401 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 405, + 504, + 428 + ], + "lines": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "So as to analyze the role of data augmentation, we train every network architecture with two different", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 374, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 374, + 428 + ], + "score": 1.0, + "content": "augmentation schemes as well as with no data augmentation at all:", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 405, + 505, + 428 + ] + }, + { + "type": "text", + "bbox": [ + 133, + 437, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 134, + 437, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 134, + 437, + 505, + 449 + ], + "score": 1.0, + "content": "• Light augmentation: This scheme is common in the literature, for example (Goodfellow", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 447, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 141, + 447, + 506, + 461 + ], + "score": 1.0, + "content": "et al., 2013; Springenberg et al., 2014), and performs only horizontal flips and horizontal", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 458, + 344, + 472 + ], + "spans": [ + { + "bbox": [ + 141, + 458, + 251, + 472 + ], + "score": 1.0, + "content": "and vertical translations of", + "type": "text" + }, + { + "bbox": [ + 251, + 459, + 270, + 470 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 458, + 344, + 472 + ], + "score": 1.0, + "content": "of the image size.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 136, + 474, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 136, + 474, + 506, + 487 + ], + "score": 1.0, + "content": "• Heavier augmentation: This scheme performs a larger range of affine transformations such", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 141, + 486, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 141, + 486, + 506, + 497 + ], + "score": 1.0, + "content": "as scaling, rotations and shear mappings, as well as contrast and brightness adjustment.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 142, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 142, + 495, + 372, + 507 + ], + "score": 1.0, + "content": "On ImageNet we additionally perform a random crop of", + "type": "text" + }, + { + "bbox": [ + 373, + 496, + 416, + 506 + ], + "score": 0.9, + "content": "1 2 8 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "pixels. The choice of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 141, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "the allowed transformations is arbitrary and the only criterion was that the objects are still", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 141, + 518, + 508, + 531 + ], + "spans": [ + { + "bbox": [ + 141, + 518, + 508, + 531 + ], + "score": 1.0, + "content": "recognizable in general. We deliberately avoid designing a particularly successful scheme.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 141, + 528, + 471, + 541 + ], + "spans": [ + { + "bbox": [ + 141, + 528, + 471, + 541 + ], + "score": 1.0, + "content": "The details of the heavier scheme can be consulted in the supplementary material.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31, + "bbox_fs": [ + 134, + 437, + 508, + 541 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 553, + 206, + 565 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 207, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 207, + 567 + ], + "score": 1.0, + "content": "4.3 TRAIN AND TEST", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 640 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "Every architecture is trained on each data set both with explicit regularization—weight decay and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "dropout as specified in the original papers—and with no explicit regularization. Furthermore, we train", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "each model with the three data augmentation schemes. The performance of the models is computed", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 605, + 507, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 507, + 621 + ], + "score": 1.0, + "content": "on the held out test tests. As in previous works (Krizhevsky et al., 2012; Simonyan & Zisserman,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "2014), we average the softmax posteriors over 10 random light augmentations, since slightly better", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 629, + 189, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 189, + 641 + ], + "score": 1.0, + "content": "results are obtained.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 574, + 507, + 641 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 505, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "score": 1.0, + "content": "All the experiments are performed on Keras (Chollet et al., 2015) on top of TensorFlow (Abadi et al.,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 657, + 350, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 350, + 668 + ], + "score": 1.0, + "content": "2015) and on a single GPU NVIDIA GeForce GTX 1080 Ti.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 644, + 506, + 668 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 684, + 172, + 697 + ], + "lines": [ + { + "bbox": [ + 104, + 683, + 174, + 700 + ], + "spans": [ + { + "bbox": [ + 104, + 683, + 174, + 700 + ], + "score": 1.0, + "content": "5 RESULTS", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 505, + 722 + ], + "score": 1.0, + "content": "This section presents the most relevant results of the experiments comparing the roles of data", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "augmentation and explicit regularization on convolutional neural networks. First, we present the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "experiments with the original architectures in section 5.1. Then, Sections 5.2 and 5.3 show the results", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "of training the models with fewer training examples and with shallower and deeper versions of the", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 198, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 198, + 117 + ], + "score": 1.0, + "content": "All-CNN architecture.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 46.5, + "bbox_fs": [ + 105, + 708, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 108, + 82, + 504, + 115 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "experiments with the original architectures in section 5.1. Then, Sections 5.2 and 5.3 show the results", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "of training the models with fewer training examples and with shallower and deeper versions of the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 198, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 198, + 117 + ], + "score": 1.0, + "content": "All-CNN architecture.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 106, + 121, + 505, + 210 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "score": 1.0, + "content": "The figures aim at facilitating the comparison between the models trained with and without explicit", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 146 + ], + "score": 1.0, + "content": "regularization, as well as between the different levels of data augmentation. The purple bars (top", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 144, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 155 + ], + "score": 1.0, + "content": "of each pair) correspond to the models trained without explicit regularization—weight decay and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 154, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 506, + 166 + ], + "score": 1.0, + "content": "dropout—and the red bars (bottom) to the models trained with it. The different color shades corre-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 177 + ], + "score": 1.0, + "content": "spond to the three augmentation schemes. The figures show the relative performance of each model", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "with respect to a particular baseline in order to highlight the relevant comparisons. A detailed and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 188, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 199 + ], + "score": 1.0, + "content": "complete report of all the results can be found in the supplementary material. 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No explicit reg.Weight decay+ dropout
Nonebaseline3.02 (1.65)
Light8.46 (3.80)7.88 (2.60)
Heavier8.68 (4.69)7.92 (4.03)
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No explicit reg.Weight decay+ dropout
Nonebaseline3.02 (1.65)
Light8.46 (3.80)7.88 (2.60)
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We show here that simply removing weight decay and dropout—while even keeping", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "all other hyperparameters intact, see Section 4.1—improves the formerly state-of-the-art accuracy in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 526, + 204, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 204, + 538 + ], + "score": 1.0, + "content": "4 of the 8 studied cases.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 461, + 505, + 538 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 558 + ], + "score": 1.0, + "content": "Second, it can also be observed that the regularization effect of weight decay and dropout, an average", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 554, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 171, + 567 + ], + "score": 1.0, + "content": "improvement of", + "type": "text" + }, + { + "bbox": [ + 172, + 555, + 201, + 565 + ], + "score": 0.87, + "content": "3 . 0 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 554, + 506, + 567 + ], + "score": 1.0, + "content": "with respect to the baseline,1 is much smaller than that of data augmentation.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 565, + 433, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 354, + 579 + ], + "score": 1.0, + "content": "Simply applying light augmentation increases the accuracy in", + "type": "text" + }, + { + "bbox": [ + 354, + 566, + 384, + 576 + ], + "score": 0.85, + "content": "8 . 4 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 565, + 433, + 579 + ], + "score": 1.0, + "content": "on average.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 541, + 506, + 579 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 659 + ], + "lines": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "Finally, note that even though the heavier augmentation scheme was deliberately not designed to", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "optimize the performance, in both CIFAR-10 and CIFAR-100 it improves the test performance with", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "respect to the light augmentation scheme. This is not the case on ImageNet, probably due to the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 505, + 628 + ], + "score": 1.0, + "content": "increased complexity of the data set. It can be observed though that the effects are in general more", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "consistent in the models trained without explicit regularization. In sum, it seems that the performance", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "gain achieved by weight decay and dropout can be achieved and often improved by data augmentation", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 648, + 134, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 134, + 661 + ], + "score": 1.0, + "content": "alone.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 582, + 505, + 661 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 677, + 309, + 688 + ], + "lines": [ + { + "bbox": [ + 105, + 675, + 311, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 311, + 690 + ], + "score": 1.0, + "content": "5.2 FEWER AVAILABLE TRAINING EXAMPLES", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "We argue that one of the main drawbacks of explicit regularization techniques is their poor adaptability", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "to changes in the conditions with which the hyperparameters were tuned. To test this hypothesis and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "contrast it with the adaptability of data augmentation, here we extend the analysis by training the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "same networks with fewer examples. The models are trained with the same random subset of data and", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 417, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 429 + ], + "score": 1.0, + "content": "evaluated in the same test set as the previous experiments. In order to better visualize how well each", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 427, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 442 + ], + "score": 1.0, + "content": "technique resists the reduction of training data, in Figure 2 we show the fraction of baseline accuracy", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 440, + 504, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 284, + 451 + ], + "score": 1.0, + "content": "achieved by each model when trained with", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 284, + 440, + 307, + 450 + ], + "score": 0.87, + "content": "50 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 307, + 440, + 326, + 451 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 326, + 440, + 348, + 450 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 349, + 440, + 504, + 451 + ], + "score": 1.0, + "content": "of the available data. In this case, the", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 450, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 463 + ], + "score": 1.0, + "content": "baseline is thus each corresponding model trained with the complete data set. Table 2 summarizes the", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 462, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 473 + ], + "score": 1.0, + "content": "mean and standard deviation of each combination. 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50 % of the training data10 % of the training data
No explicit reg.WD + dropoutNo explicit reg.WD + dropout
None88.11 (6.27)83.20 (9.83)58.72 (14.93)58.75 (16.92)
Light91.47 (4.31)88.27 (7.39)67.55 (14.27)60.89 (18.39)
Heavier91.82 (4.63)89.28 (6.63)68.69 (13.61)61.43 (15.90)
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On average, with", + "type": "text" + }, + { + "bbox": [ + 471, + 501, + 493, + 511 + ], + "score": 0.85, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 500, + 506, + 512 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 511, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 285, + 523 + ], + "score": 1.0, + "content": "the available data, these models only achieve", + "type": "text" + }, + { + "bbox": [ + 286, + 511, + 320, + 522 + ], + "score": 0.87, + "content": "8 3 . 2 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 511, + 505, + 523 + ], + "score": 1.0, + "content": "of the original accuracy, which, remarkably, is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 374, + 535 + ], + "score": 1.0, + "content": "worse than the models trained without any explicit regularization", + "type": "text" + }, + { + "bbox": [ + 375, + 523, + 414, + 533 + ], + "score": 0.82, + "content": "( 8 8 . 1 1 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 522, + 434, + 535 + ], + "score": 1.0, + "content": ". On", + "type": "text" + }, + { + "bbox": [ + 435, + 523, + 457, + 533 + ], + "score": 0.85, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "of the data,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 282, + 546 + ], + "score": 1.0, + "content": "the average fraction is the same (58.75 and", + "type": "text" + }, + { + "bbox": [ + 283, + 533, + 318, + 544 + ], + "score": 0.86, + "content": "5 8 . 7 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 533, + 505, + 546 + ], + "score": 1.0, + "content": ", respectively). This implies that training with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 545, + 358, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 358, + 557 + ], + "score": 1.0, + "content": "explicit regularization is even detrimental for the performance.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 561, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 507, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 507, + 575 + ], + "score": 1.0, + "content": "When combined with data augmentation, the models trained with explicit regularization (bottom,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 270, + 585 + ], + "score": 1.0, + "content": "red bars) also perform worse (88.78 and", + "type": "text" + }, + { + "bbox": [ + 271, + 572, + 306, + 583 + ], + "score": 0.86, + "content": "6 1 . 1 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 571, + 357, + 585 + ], + "score": 1.0, + "content": "with 50 and", + "type": "text" + }, + { + "bbox": [ + 358, + 572, + 380, + 582 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "of the data, respectively), than", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 378, + 595 + ], + "score": 1.0, + "content": "the models with just data augmentation (top, purple bars, 91.64 and", + "type": "text" + }, + { + "bbox": [ + 378, + 583, + 412, + 594 + ], + "score": 0.87, + "content": "6 8 . 1 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "on average). Note that", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "the difference becomes larger as the amount of available data decreases. Importantly, it seems that", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "the combination of explicit regularization and data augmentation is only slightly better than training", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "score": 1.0, + "content": "without data augmentation. 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50 % of the training data10 % of the training data
No explicit reg.WD + dropoutNo explicit reg.WD + dropout
None88.11 (6.27)83.20 (9.83)58.72 (14.93)58.75 (16.92)
Light91.47 (4.31)88.27 (7.39)67.55 (14.27)60.89 (18.39)
Heavier91.82 (4.63)89.28 (6.63)68.69 (13.61)61.43 (15.90)
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On average, with", + "type": "text" + }, + { + "bbox": [ + 471, + 501, + 493, + 511 + ], + "score": 0.85, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 500, + 506, + 512 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 511, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 285, + 523 + ], + "score": 1.0, + "content": "the available data, these models only achieve", + "type": "text" + }, + { + "bbox": [ + 286, + 511, + 320, + 522 + ], + "score": 0.87, + "content": "8 3 . 2 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 511, + 505, + 523 + ], + "score": 1.0, + "content": "of the original accuracy, which, remarkably, is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 374, + 535 + ], + "score": 1.0, + "content": "worse than the models trained without any explicit regularization", + "type": "text" + }, + { + "bbox": [ + 375, + 523, + 414, + 533 + ], + "score": 0.82, + "content": "( 8 8 . 1 1 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 522, + 434, + 535 + ], + "score": 1.0, + "content": ". On", + "type": "text" + }, + { + "bbox": [ + 435, + 523, + 457, + 533 + ], + "score": 0.85, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "of the data,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 282, + 546 + ], + "score": 1.0, + "content": "the average fraction is the same (58.75 and", + "type": "text" + }, + { + "bbox": [ + 283, + 533, + 318, + 544 + ], + "score": 0.86, + "content": "5 8 . 7 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 533, + 505, + 546 + ], + "score": 1.0, + "content": ", respectively). This implies that training with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 545, + 358, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 358, + 557 + ], + "score": 1.0, + "content": "explicit regularization is even detrimental for the performance.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 489, + 506, + 557 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 561, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 507, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 507, + 575 + ], + "score": 1.0, + "content": "When combined with data augmentation, the models trained with explicit regularization (bottom,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 270, + 585 + ], + "score": 1.0, + "content": "red bars) also perform worse (88.78 and", + "type": "text" + }, + { + "bbox": [ + 271, + 572, + 306, + 583 + ], + "score": 0.86, + "content": "6 1 . 1 6 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 571, + 357, + 585 + ], + "score": 1.0, + "content": "with 50 and", + "type": "text" + }, + { + "bbox": [ + 358, + 572, + 380, + 582 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "of the data, respectively), than", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 378, + 595 + ], + "score": 1.0, + "content": "the models with just data augmentation (top, purple bars, 91.64 and", + "type": "text" + }, + { + "bbox": [ + 378, + 583, + 412, + 594 + ], + "score": 0.87, + "content": "6 8 . 1 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "on average). Note that", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "the difference becomes larger as the amount of available data decreases. Importantly, it seems that", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "the combination of explicit regularization and data augmentation is only slightly better than training", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "score": 1.0, + "content": "without data augmentation. We can think of two reasons that could explain this: first, the original", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "regularization hyperparameters seem to adapt poorly to the new conditions. The hyperparameters are", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "specifically tuned for the original setup and one would have to re-tune them to achieve comparable", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 650, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 661 + ], + "score": 1.0, + "content": "results. Second, since explicit regularization reduces the representational capacity, this might prevent", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 660, + 336, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 336, + 672 + ], + "score": 1.0, + "content": "the models from taking advantage of the augmented data.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 560, + 507, + 672 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "In contrast, the models trained without explicit regularization more naturally adapt to the reduced", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 211, + 699 + ], + "score": 1.0, + "content": "availability of data. With", + "type": "text" + }, + { + "bbox": [ + 211, + 688, + 234, + 698 + ], + "score": 0.85, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "of the data, these models, trained with data augmentation achieve", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 130, + 711 + ], + "score": 1.0, + "content": "about", + "type": "text" + }, + { + "bbox": [ + 131, + 699, + 160, + 709 + ], + "score": 0.86, + "content": "91 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 699, + 483, + 711 + ], + "score": 1.0, + "content": "of the performance with respect to training with the complete data sets. With only", + "type": "text" + }, + { + "bbox": [ + 483, + 699, + 505, + 709 + ], + "score": 0.84, + "content": "10 \\%", + "type": "inline_equation" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 235, + 722 + ], + "score": 1.0, + "content": "of the data, they achieve nearly", + "type": "text" + }, + { + "bbox": [ + 235, + 710, + 258, + 720 + ], + "score": 0.88, + "content": "70 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "of the baseline performance, on average. This highlights the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "suitability of data augmentation to serve, to a great extent, as true, useful data (Vinyals et al., 2016).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 676, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 109, + 82, + 319, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 321, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 321, + 95 + ], + "score": 1.0, + "content": "5.3 SHALLOWER AND DEEPER ARCHITECTURES", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "Finally, in this section we test the adaptability of data augmentation and explicit regularization to", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "changes in the depth of the All-CNN architecture (see Section 4.1). We show the fraction of the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 367, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 367, + 140 + ], + "score": 1.0, + "content": "performance with respect to the original architecture in Figure 3.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 144, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 143, + 506, + 158 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 158 + ], + "score": 1.0, + "content": "A noticeable result from Figure 3 is that all the models trained with weight decay and dropout (bottom,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 156, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 505, + 168 + ], + "score": 1.0, + "content": "red bars) suffer a dramatic drop in performance when the architecture changes, regardless of whether", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 167, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 505, + 179 + ], + "score": 1.0, + "content": "it becomes deeper or shallower and of the amount of data augmentation. As in the case of reduced", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 176, + 507, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 507, + 191 + ], + "score": 1.0, + "content": "training data, this may be explained by the poor adaptability of the regularization hyperparameters,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 188, + 271, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 271, + 201 + ], + "score": 1.0, + "content": "which highly depend on the architecture.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 205, + 505, + 260 + ], + "lines": [ + { + "bbox": [ + 105, + 203, + 507, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 507, + 219 + ], + "score": 1.0, + "content": "This highly contrasts with the performance of the models trained without explicit regularization (top,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 505, + 229 + ], + "score": 1.0, + "content": "purple bars). With a deeper architecture, these models achieve slightly better performance, effectively", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 227, + 505, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 240 + ], + "score": 1.0, + "content": "exploiting the increased capacity. With a shallower architecture, they achieve only slightly worse", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 506, + 251 + ], + "score": 1.0, + "content": "performance4. Thus, these models seem to more naturally adapt to the new architecture and data", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 249, + 244, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 244, + 261 + ], + "score": 1.0, + "content": "augmentation becomes beneficial.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 266, + 505, + 332 + ], + "lines": [ + { + "bbox": [ + 105, + 265, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 505, + 279 + ], + "score": 1.0, + "content": "It is worth commenting on the particular case of the CIFAR-100 benchmark, where the difference", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "score": 1.0, + "content": "between the models with and without explicit regularization is even more pronounced, in general. It", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 288, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 300 + ], + "score": 1.0, + "content": "is a common practice in object recognition papers to tune the parameters for CIFAR-10 and then test", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 298, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 505, + 312 + ], + "score": 1.0, + "content": "the performance on CIFAR-100 with the same hyperparameters. Therefore, these are typically less", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "score": 1.0, + "content": "suitable for CIFAR-100. We believe this is the reason why the benefits of data augmentation seem", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 321, + 341, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 341, + 334 + ], + "score": 1.0, + "content": "even more pronounced on CIFAR-100 in our experiments.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 504, + 393 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 349 + ], + "score": 1.0, + "content": "In sum, these results highlight another crucial advantage of data augmentation: the effectiveness of its", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "hyperparameters, that is the type of image transformations, depend mostly on the type of data, rather", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "score": 1.0, + "content": "than on the particular architecture or amount of available training data, unlike explicit regularization", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "score": 1.0, + "content": "hyperparameters. Therefore, removing explicit regularization and training with data augmentation", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 382, + 259, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 259, + 394 + ], + "score": 1.0, + "content": "increases the flexibility of the models.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 416, + 190, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 192, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 192, + 431 + ], + "score": 1.0, + "content": "6 DISCUSSION", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 565 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "We have presented a systematic analysis of the role of data augmentation in deep convolutional neural", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "networks for object recognition, focusing on the comparison with popular explicit regularization", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "score": 1.0, + "content": "techniques—weight decay and dropout. In order to facilitate the discussion and the analysis, we first", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 478, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 491 + ], + "score": 1.0, + "content": "proposed in Section 2 definitions of explicit and implicit regularization, which have been ambiguously", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 489, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 489, + 506, + 501 + ], + "score": 1.0, + "content": "used in the literature. Accordingly, we have argued that data augmentation should not be considered", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 500, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 506, + 512 + ], + "score": 1.0, + "content": "an explicit regularizer, such as weight decay and dropout. Then, we provided some theoretical", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 511, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 506, + 523 + ], + "score": 1.0, + "content": "insights in Section 3 that highlight some advantages of data augmentation over explicit regularization.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "score": 1.0, + "content": "Finally, we have empirically shown that explicit regularization is not only unnecessary (Zhang et al.,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 531, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 546 + ], + "score": 1.0, + "content": "2017), but also that its generalization gain can be achieved by data augmentation alone. Moreover, we", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 542, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 557 + ], + "score": 1.0, + "content": "have demonstrated that, unlike data augmentation, weight decay and dropout exhibit poor adaptability", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 555, + 356, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 356, + 567 + ], + "score": 1.0, + "content": "to changes in the architecture and the amount of training data.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 571, + 505, + 681 + ], + "lines": [ + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "score": 1.0, + "content": "Despite the limitations of our empirical study, we have chosen three significantly distinct network", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "architectures and three data sets in order to increase the generality of our conclusions, which should", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 593, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 606 + ], + "score": 1.0, + "content": "ideally be confirmed by future work on a wider range of models, data sets and even other domains", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "such text or speech. It is important to note, however, that we have taken a conservative approach in our", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "score": 1.0, + "content": "experimentation: all the hyperparameters have been kept as in the original models, which included", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 626, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 506, + 639 + ], + "score": 1.0, + "content": "both weight decay and dropout, as well as light augmentation. This setup is clearly suboptimal", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 637, + 504, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 504, + 649 + ], + "score": 1.0, + "content": "for models trained without explicit regularization. Besides, the heavier data augmentation scheme", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "was deliberately not optimized to improve the performance and it was not the scope of this work to", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "propose a specific data augmentation technique. As future work, we plan to propose data augmentation", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 669, + 383, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 383, + 683 + ], + "score": 1.0, + "content": "schemes that can more successfully be exploited by any deep model.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 41.5 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 701, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 118, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "4Note that the shallower models trained with neither explicit regularization nor data augmentation achieve", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 712, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 712, + 505, + 722 + ], + "score": 1.0, + "content": "even better accuracy than their counterpart with the original architecture, probably due to the reduction of", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 721, + 268, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 268, + 733 + ], + "score": 1.0, + "content": "overfitting provided by the reduced capacity.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 109, + 82, + 319, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 321, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 321, + 95 + ], + "score": 1.0, + "content": "5.3 SHALLOWER AND DEEPER ARCHITECTURES", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "Finally, in this section we test the adaptability of data augmentation and explicit regularization to", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "changes in the depth of the All-CNN architecture (see Section 4.1). We show the fraction of the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 367, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 367, + 140 + ], + "score": 1.0, + "content": "performance with respect to the original architecture in Figure 3.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 105, + 505, + 140 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 144, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 143, + 506, + 158 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 158 + ], + "score": 1.0, + "content": "A noticeable result from Figure 3 is that all the models trained with weight decay and dropout (bottom,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 156, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 505, + 168 + ], + "score": 1.0, + "content": "red bars) suffer a dramatic drop in performance when the architecture changes, regardless of whether", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 167, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 505, + 179 + ], + "score": 1.0, + "content": "it becomes deeper or shallower and of the amount of data augmentation. As in the case of reduced", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 176, + 507, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 507, + 191 + ], + "score": 1.0, + "content": "training data, this may be explained by the poor adaptability of the regularization hyperparameters,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 188, + 271, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 271, + 201 + ], + "score": 1.0, + "content": "which highly depend on the architecture.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 143, + 507, + 201 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 205, + 505, + 260 + ], + "lines": [ + { + "bbox": [ + 105, + 203, + 507, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 507, + 219 + ], + "score": 1.0, + "content": "This highly contrasts with the performance of the models trained without explicit regularization (top,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 216, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 505, + 229 + ], + "score": 1.0, + "content": "purple bars). With a deeper architecture, these models achieve slightly better performance, effectively", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 227, + 505, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 240 + ], + "score": 1.0, + "content": "exploiting the increased capacity. With a shallower architecture, they achieve only slightly worse", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 506, + 251 + ], + "score": 1.0, + "content": "performance4. Thus, these models seem to more naturally adapt to the new architecture and data", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 249, + 244, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 244, + 261 + ], + "score": 1.0, + "content": "augmentation becomes beneficial.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 203, + 507, + 261 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 266, + 505, + 332 + ], + "lines": [ + { + "bbox": [ + 105, + 265, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 505, + 279 + ], + "score": 1.0, + "content": "It is worth commenting on the particular case of the CIFAR-100 benchmark, where the difference", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 506, + 290 + ], + "score": 1.0, + "content": "between the models with and without explicit regularization is even more pronounced, in general. It", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 288, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 300 + ], + "score": 1.0, + "content": "is a common practice in object recognition papers to tune the parameters for CIFAR-10 and then test", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 298, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 505, + 312 + ], + "score": 1.0, + "content": "the performance on CIFAR-100 with the same hyperparameters. Therefore, these are typically less", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "score": 1.0, + "content": "suitable for CIFAR-100. We believe this is the reason why the benefits of data augmentation seem", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 321, + 341, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 341, + 334 + ], + "score": 1.0, + "content": "even more pronounced on CIFAR-100 in our experiments.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 265, + 506, + 334 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 504, + 393 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 349 + ], + "score": 1.0, + "content": "In sum, these results highlight another crucial advantage of data augmentation: the effectiveness of its", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "hyperparameters, that is the type of image transformations, depend mostly on the type of data, rather", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "score": 1.0, + "content": "than on the particular architecture or amount of available training data, unlike explicit regularization", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "score": 1.0, + "content": "hyperparameters. Therefore, removing explicit regularization and training with data augmentation", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 382, + 259, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 259, + 394 + ], + "score": 1.0, + "content": "increases the flexibility of the models.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 339, + 506, + 394 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 416, + 190, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 192, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 192, + 431 + ], + "score": 1.0, + "content": "6 DISCUSSION", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 565 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "We have presented a systematic analysis of the role of data augmentation in deep convolutional neural", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "networks for object recognition, focusing on the comparison with popular explicit regularization", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "score": 1.0, + "content": "techniques—weight decay and dropout. In order to facilitate the discussion and the analysis, we first", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 478, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 491 + ], + "score": 1.0, + "content": "proposed in Section 2 definitions of explicit and implicit regularization, which have been ambiguously", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 489, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 489, + 506, + 501 + ], + "score": 1.0, + "content": "used in the literature. Accordingly, we have argued that data augmentation should not be considered", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 500, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 506, + 512 + ], + "score": 1.0, + "content": "an explicit regularizer, such as weight decay and dropout. Then, we provided some theoretical", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 511, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 506, + 523 + ], + "score": 1.0, + "content": "insights in Section 3 that highlight some advantages of data augmentation over explicit regularization.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "score": 1.0, + "content": "Finally, we have empirically shown that explicit regularization is not only unnecessary (Zhang et al.,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 531, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 546 + ], + "score": 1.0, + "content": "2017), but also that its generalization gain can be achieved by data augmentation alone. Moreover, we", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 542, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 557 + ], + "score": 1.0, + "content": "have demonstrated that, unlike data augmentation, weight decay and dropout exhibit poor adaptability", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 555, + 356, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 356, + 567 + ], + "score": 1.0, + "content": "to changes in the architecture and the amount of training data.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 444, + 506, + 567 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 571, + 505, + 681 + ], + "lines": [ + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 583 + ], + "score": 1.0, + "content": "Despite the limitations of our empirical study, we have chosen three significantly distinct network", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "architectures and three data sets in order to increase the generality of our conclusions, which should", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 593, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 606 + ], + "score": 1.0, + "content": "ideally be confirmed by future work on a wider range of models, data sets and even other domains", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "such text or speech. It is important to note, however, that we have taken a conservative approach in our", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "score": 1.0, + "content": "experimentation: all the hyperparameters have been kept as in the original models, which included", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 626, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 506, + 639 + ], + "score": 1.0, + "content": "both weight decay and dropout, as well as light augmentation. This setup is clearly suboptimal", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 637, + 504, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 504, + 649 + ], + "score": 1.0, + "content": "for models trained without explicit regularization. Besides, the heavier data augmentation scheme", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "was deliberately not optimized to improve the performance and it was not the scope of this work to", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "propose a specific data augmentation technique. As future work, we plan to propose data augmentation", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 669, + 383, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 383, + 683 + ], + "score": 1.0, + "content": "schemes that can more successfully be exploited by any deep model.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 572, + 506, + 683 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "The relevance of our findings lies in the fact that explicit regularization is currently the standard tool", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "to enable the generalization of most machine learning methods and is included in most convolutional", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "score": 1.0, + "content": "neural networks. However, we have empirically shown that simply removing the explicit regularizers", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "often improves the performance or only marginally reduces it, if some data augmentation is applied.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 423, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 423, + 140 + ], + "score": 1.0, + "content": "These results are supported by the theoretical insights provided in in Section 3.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 142, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 505, + 156 + ], + "score": 1.0, + "content": "Zhang et al. (2017) suggested that regularization might play a different role in deep learning, not fully", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "explained by statistical learning theory (Vapnik & Chervonenkis, 1971). We have argued instead that", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "the theory still naturally holds in deep learning, as long as one considers the crucial role of implicit", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "regularization: explicit regularization seems to be no longer necessary because its contribution is", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "already provided by the many elements that implicitly and successfully regularize the models: to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 446, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 446, + 211 + ], + "score": 1.0, + "content": "name a few, stochastic gradient descent, convolutional layers and data augmentation.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "title", + "bbox": [ + 108, + 225, + 285, + 236 + ], + "lines": [ + { + "bbox": [ + 106, + 225, + 287, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 287, + 237 + ], + "score": 1.0, + "content": "6.1 RETHINKING DATA AUGMENTATION", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 246, + 505, + 323 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "Data augmentation is often regarded by authors of machine learning papers as cheating, something", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "score": 1.0, + "content": "that should not be used in order to test the potential of a newly proposed architecture (Goodfellow", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "score": 1.0, + "content": "et al., 2013; Graham, 2014; Larsson et al., 2016). In contrast, weight decay and dropout are almost", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "score": 1.0, + "content": "ubiquitous and considered intrinsic elements of the algorithms. In view of the results presented here,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 291, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 302 + ], + "score": 1.0, + "content": "we believe that the deep learning community would benefit if we rethink data augmentation and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "score": 1.0, + "content": "switch roles with explicit regularization: a good model should generalize well without the need for", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 313, + 474, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 474, + 325 + ], + "score": 1.0, + "content": "explicit regularization and successful methods should effectively exploit data augmentation.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 417 + ], + "lines": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "In this regard it is worth highlighting some of the advantages of data augmentation: Not only does it", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 341, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 505, + 353 + ], + "score": 1.0, + "content": "not reduce the representational capacity of the model, unlike explicit regularization, but also, since", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "score": 1.0, + "content": "the transformations reflect plausible variations of the real objects, it increases the robustness of the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "score": 1.0, + "content": "model and it can be seen as a data-dependent prior, similarly to unsupervised pre-training (Erhan", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "score": 1.0, + "content": "et al., 2010). Novak et al. (2018) have shown that data augmentation consistently yields models with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 384, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 396 + ], + "score": 1.0, + "content": "smaller sensitivity to perturbations. Interestingly, recent work has found that models trained with", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "heavier data augmentation learn representations that are more similar to the inferior temporal (IT)", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 406, + 507, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 507, + 418 + ], + "score": 1.0, + "content": "cortex, highlighting the biological plausibility of data augmentation (Hernández-García et al., 2018).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 422, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 423, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 505, + 435 + ], + "score": 1.0, + "content": "Deep neural networks are especially well suited for data augmentation because they do not rely", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "on pre-computed features and because the large number of parameters allows them to shatter the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "augmented training set. Moreover, unlike explicit regularization, data augmentation can be performed", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "on the CPU, in parallel to the gradient updates. Finally, an important conclusion from Sections 5.2", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "score": 1.0, + "content": "and 5.3 is that data augmentation naturally adapts to architectures of different depth and amounts of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 477, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 491 + ], + "score": 1.0, + "content": "available training data, whereas explicitly regularized models are highly sensitive to such changes", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "score": 1.0, + "content": "and need specific fine-tuning of their hyperparameters. In sum, data augmentation seems to be a", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 499, + 325, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 325, + 513 + ], + "score": 1.0, + "content": "strong alternative to explicit regularization techniques.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 516, + 505, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "Some argue that despite these advantages, data augmentation is a limited approach because it depends", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "on some prior expert knowledge and it cannot be applied to all domains. However, we argue instead", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 538, + 506, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 506, + 551 + ], + "score": 1.0, + "content": "that expert knowledge should not be disregarded but exploited. A single data augmentation scheme", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "score": 1.0, + "content": "can be designed for a broad family of data (for example, natural images) and effectively applied", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "to a broad set of tasks (for example, object recognition, segmentation, localization, etc.). Besides,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "score": 1.0, + "content": "interesting recent works have shown that it is possible to automatically learn the data augmentation", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 581, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 596 + ], + "score": 1.0, + "content": "strategies (Lemley et al., 2017; Ratner et al., 2017). We hope that these insights encourage more", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 593, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 606 + ], + "score": 1.0, + "content": "research attention on data augmentation and that future work brings more sophisticated and effective", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 604, + 431, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 431, + 617 + ], + "score": 1.0, + "content": "data augmentation techniques, potentially applicable to different data modalities.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39 + }, + { + "type": "title", + "bbox": [ + 108, + 634, + 175, + 646 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 176, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 176, + 647 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 505, + 698 + ], + "lines": [ + { + "bbox": [ + 105, + 653, + 507, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 507, + 667 + ], + "score": 1.0, + "content": "Martín Abadi, Ashish Agarwal, Paul Barham, Eugene Brevdo, Zhifeng Chen, Craig Citro, Greg S.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 116, + 665, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 116, + 665, + 505, + 677 + ], + "score": 1.0, + "content": "Corrado, Andy Davis, Jeffrey Dean, Matthieu Devin, and et al. TensorFlow: Large-scale machine", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 116, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 116, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "learning on heterogeneous systems, 2015. URL http://tensorflow.org/. Software", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 116, + 686, + 238, + 700 + ], + "spans": [ + { + "bbox": [ + 116, + 686, + 238, + 700 + ], + "score": 1.0, + "content": "available from tensorflow.org.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46.5 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Antreas Antoniou, Amos Storkey, and Harrison Edwards. Data augmentation generative adversarial", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 115, + 721, + 321, + 732 + ], + "spans": [ + { + "bbox": [ + 115, + 721, + 321, + 732 + ], + "score": 1.0, + "content": "networks. arXiv preprint arXiv:1711.04340, 2017.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 49.5 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "The relevance of our findings lies in the fact that explicit regularization is currently the standard tool", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "to enable the generalization of most machine learning methods and is included in most convolutional", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "score": 1.0, + "content": "neural networks. However, we have empirically shown that simply removing the explicit regularizers", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "often improves the performance or only marginally reduces it, if some data augmentation is applied.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 423, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 423, + 140 + ], + "score": 1.0, + "content": "These results are supported by the theoretical insights provided in in Section 3.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 83, + 506, + 140 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 142, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 505, + 156 + ], + "score": 1.0, + "content": "Zhang et al. (2017) suggested that regularization might play a different role in deep learning, not fully", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "explained by statistical learning theory (Vapnik & Chervonenkis, 1971). We have argued instead that", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "the theory still naturally holds in deep learning, as long as one considers the crucial role of implicit", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "regularization: explicit regularization seems to be no longer necessary because its contribution is", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "already provided by the many elements that implicitly and successfully regularize the models: to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 446, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 446, + 211 + ], + "score": 1.0, + "content": "name a few, stochastic gradient descent, convolutional layers and data augmentation.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 142, + 506, + 211 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 225, + 285, + 236 + ], + "lines": [ + { + "bbox": [ + 106, + 225, + 287, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 287, + 237 + ], + "score": 1.0, + "content": "6.1 RETHINKING DATA AUGMENTATION", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 246, + 505, + 323 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "Data augmentation is often regarded by authors of machine learning papers as cheating, something", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "score": 1.0, + "content": "that should not be used in order to test the potential of a newly proposed architecture (Goodfellow", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "score": 1.0, + "content": "et al., 2013; Graham, 2014; Larsson et al., 2016). In contrast, weight decay and dropout are almost", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "score": 1.0, + "content": "ubiquitous and considered intrinsic elements of the algorithms. In view of the results presented here,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 291, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 302 + ], + "score": 1.0, + "content": "we believe that the deep learning community would benefit if we rethink data augmentation and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "score": 1.0, + "content": "switch roles with explicit regularization: a good model should generalize well without the need for", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 313, + 474, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 474, + 325 + ], + "score": 1.0, + "content": "explicit regularization and successful methods should effectively exploit data augmentation.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 246, + 506, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 505, + 417 + ], + "lines": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 342 + ], + "score": 1.0, + "content": "In this regard it is worth highlighting some of the advantages of data augmentation: Not only does it", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 341, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 505, + 353 + ], + "score": 1.0, + "content": "not reduce the representational capacity of the model, unlike explicit regularization, but also, since", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "score": 1.0, + "content": "the transformations reflect plausible variations of the real objects, it increases the robustness of the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 375 + ], + "score": 1.0, + "content": "model and it can be seen as a data-dependent prior, similarly to unsupervised pre-training (Erhan", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "score": 1.0, + "content": "et al., 2010). Novak et al. (2018) have shown that data augmentation consistently yields models with", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 384, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 396 + ], + "score": 1.0, + "content": "smaller sensitivity to perturbations. Interestingly, recent work has found that models trained with", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "heavier data augmentation learn representations that are more similar to the inferior temporal (IT)", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 406, + 507, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 507, + 418 + ], + "score": 1.0, + "content": "cortex, highlighting the biological plausibility of data augmentation (Hernández-García et al., 2018).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 328, + 507, + 418 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 422, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 423, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 505, + 435 + ], + "score": 1.0, + "content": "Deep neural networks are especially well suited for data augmentation because they do not rely", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "on pre-computed features and because the large number of parameters allows them to shatter the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "augmented training set. Moreover, unlike explicit regularization, data augmentation can be performed", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "on the CPU, in parallel to the gradient updates. Finally, an important conclusion from Sections 5.2", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "score": 1.0, + "content": "and 5.3 is that data augmentation naturally adapts to architectures of different depth and amounts of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 477, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 491 + ], + "score": 1.0, + "content": "available training data, whereas explicitly regularized models are highly sensitive to such changes", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "score": 1.0, + "content": "and need specific fine-tuning of their hyperparameters. In sum, data augmentation seems to be a", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 499, + 325, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 325, + 513 + ], + "score": 1.0, + "content": "strong alternative to explicit regularization techniques.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 423, + 506, + 513 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 516, + 505, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "Some argue that despite these advantages, data augmentation is a limited approach because it depends", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "on some prior expert knowledge and it cannot be applied to all domains. However, we argue instead", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 538, + 506, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 506, + 551 + ], + "score": 1.0, + "content": "that expert knowledge should not be disregarded but exploited. A single data augmentation scheme", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 562 + ], + "score": 1.0, + "content": "can be designed for a broad family of data (for example, natural images) and effectively applied", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "to a broad set of tasks (for example, object recognition, segmentation, localization, etc.). Besides,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "score": 1.0, + "content": "interesting recent works have shown that it is possible to automatically learn the data augmentation", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 581, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 596 + ], + "score": 1.0, + "content": "strategies (Lemley et al., 2017; Ratner et al., 2017). 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C l .", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "is the number of classes and Gl.Avg. refers", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "to global average pooling. The CIFAR network is identical to the All-CNN-C architecture in the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "score": 1.0, + "content": "original paper, except for the introduction of the batch normalization layers. 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Specifically, the All-CNN networks are trained using stochastic gradient descent, with", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "fixed Nesterov momentum 0.9, learning rate of 0.01 and decay factor of 0.1. The batch size for the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "experiments on ImageNet is 64 and we train during 25 epochs decaying the learning rate at epochs", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 590, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 604 + ], + "score": 1.0, + "content": "10 and 20. On CIFAR, the batch size is 128, we train for 350 epochs and decay the learning rate", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 614 + ], + "score": 1.0, + "content": "at epochs 200, 250 and 300. The kernel parameters are initialized according to the Xavier uniform", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 613, + 263, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 263, + 625 + ], + "score": 1.0, + "content": "initialization (Glorot & Bengio, 2010).", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 108, + 641, + 252, + 652 + ], + "lines": [ + { + "bbox": [ + 106, + 640, + 254, + 654 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 254, + 654 + ], + "score": 1.0, + "content": "A.2 WIDE RESIDUAL NETWORK", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 663, + 505, + 707 + ], + "lines": [ + { + "bbox": [ + 105, + 662, + 507, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 507, + 676 + ], + "score": 1.0, + "content": "WRN is a modification of ResNet (He et al., 2016) that achieves better performance with fewer layers,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 674, + 505, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 674, + 505, + 686 + ], + "score": 1.0, + "content": "but more units per layer. Here we choose for our experiments the WRN-28-10 version (28 layers", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 685, + 505, + 697 + ], + "spans": [ + { + "bbox": [ + 106, + 685, + 149, + 697 + ], + "score": 1.0, + "content": "and about", + "type": "text" + }, + { + "bbox": [ + 149, + 685, + 181, + 696 + ], + "score": 0.55, + "content": "3 6 . 5 \\mathrm { ~ M ~ }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 685, + 505, + 697 + ], + "score": 1.0, + "content": "parameters), which is reported to achieve the best results on CIFAR. It has the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 696, + 200, + 709 + ], + "spans": [ + { + "bbox": [ + 105, + 696, + 200, + 709 + ], + "score": 1.0, + "content": "following architecture:", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 334, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 335, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 335, + 95 + ], + "score": 1.0, + "content": "A DETAILS OF NETWORK ARCHITECTURES", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 108, + 506, + 152 + ], + "lines": [ + { + "bbox": [ + 105, + 108, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 108, + 506, + 120 + ], + "score": 1.0, + "content": "This appendix presents the details of the network architectures used in the main experiments: All-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 119, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 106, + 119, + 505, + 131 + ], + "score": 1.0, + "content": "CNN, Wide Residual Network (WRN) and DenseNet. All-CNN is a relatively simple, small network", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 129, + 505, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 505, + 144 + ], + "score": 1.0, + "content": "with a few number of layers and parameters, WRN is deeper, has residual connections and many", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 141, + 498, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 498, + 154 + ], + "score": 1.0, + "content": "more parameters and DenseNet is densely connected and is much deeper, but parameter effective.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 108, + 506, + 154 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 170, + 277, + 181 + ], + "lines": [ + { + "bbox": [ + 106, + 169, + 279, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 279, + 183 + ], + "score": 1.0, + "content": "A.1 ALL CONVOLUTIONAL NETWORK", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 191, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 106, + 192, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 192, + 506, + 204 + ], + "score": 1.0, + "content": "All-CNN consists exclusively of convolutional layers with ReLU activation (Glorot et al., 2011),", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 203, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 104, + 203, + 506, + 214 + ], + "score": 1.0, + "content": "it is relatively shallow and has few parameters. For ImageNet, the network has 16 layers and 9.4", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 214, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 214, + 505, + 226 + ], + "score": 1.0, + "content": "million parameters; for CIFAR, it has 12 layers and about 1.3 million parameters. In our experiments", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 225, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 505, + 237 + ], + "score": 1.0, + "content": "to compare the adaptability of data augmentation and explicit regularization to changes in the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 235, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 249 + ], + "score": 1.0, + "content": "architecture, we also test a shallower version, with 9 layers and 374,000 parameters, and a deeper", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 247, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 505, + 259 + ], + "score": 1.0, + "content": "version, with 15 layers and 2.4 million parameters. The four architectures can be described as in", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 257, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 167, + 270 + ], + "score": 1.0, + "content": "Table 3, where", + "type": "text" + }, + { + "bbox": [ + 167, + 258, + 207, + 269 + ], + "score": 0.91, + "content": "K \\mathbf { C } D ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 257, + 223, + 270 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 223, + 258, + 254, + 268 + ], + "score": 0.9, + "content": "D \\times D", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 257, + 353, + 270 + ], + "score": 1.0, + "content": "convolutional layer with", + "type": "text" + }, + { + "bbox": [ + 354, + 258, + 365, + 268 + ], + "score": 0.76, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 257, + 443, + 270 + ], + "score": 1.0, + "content": "channels and stride", + "type": "text" + }, + { + "bbox": [ + 444, + 258, + 452, + 268 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 257, + 505, + 270 + ], + "score": 1.0, + "content": ", followed by", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 300, + 281 + ], + "score": 1.0, + "content": "batch normalization and a ReLU non-linearity.", + "type": "text" + }, + { + "bbox": [ + 300, + 269, + 323, + 279 + ], + "score": 0.6, + "content": "N . C l .", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "is the number of classes and Gl.Avg. refers", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "to global average pooling. The CIFAR network is identical to the All-CNN-C architecture in the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "score": 1.0, + "content": "original paper, except for the introduction of the batch normalization layers. 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It has the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 696, + 200, + 709 + ], + "spans": [ + { + "bbox": [ + 105, + 696, + 200, + 709 + ], + "score": 1.0, + "content": "following architecture:", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 662, + 507, + 709 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 81, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 132, + 95 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 83, + 151, + 93 + ], + "score": 0.6, + "content": "K \\mathbf { \\mathbf { \\mathbf { k } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "is a residual block with residual function BN–ReLU–KC3(1)–BN–ReLU–KC 3(1). BN", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "is batch normalization, Avg.(8) is spatial average pooling of size 8 and FC is a fully connected layer.", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "score": 1.0, + "content": "On ImageNet, the stride of the first convolution is 2. The stride of the first convolution within the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 504, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 504, + 127 + ], + "score": 1.0, + "content": "residual blocks is 1 except in the first block of the series of 4, where it is set to 2 in order to subsample", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 177, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 177, + 140 + ], + "score": 1.0, + "content": "the feature maps.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 105, + 142, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 505, + 155 + ], + "score": 1.0, + "content": "Similarly, we keep the training parameters of the original paper: we train with SGD, with fixed", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 154, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 505, + 166 + ], + "score": 1.0, + "content": "Nesterov momentum 0.9 and learning rate of 0.1. On ImageNet, the learning rate is decayed by 0.2 at", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "epochs 8 and 15 and we train for a total of 20 epochs with batch size 32. On CIFAR, we train with", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 188 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 188 + ], + "score": 1.0, + "content": "a batch size of 128 during 200 epochs and decay the learning rate at epochs 60, 120 and 160. The", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 470, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 470, + 199 + ], + "score": 1.0, + "content": "kernel parameters are initialized according to the He normal initialization (He et al., 2015).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "title", + "bbox": [ + 107, + 212, + 182, + 223 + ], + "lines": [ + { + "bbox": [ + 106, + 210, + 183, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 183, + 225 + ], + "score": 1.0, + "content": "A.3 DENSENET", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 232, + 506, + 299 + ], + "lines": [ + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "score": 1.0, + "content": "The main characteristic of DenseNet (Huang et al., 2017) is that the architecture is arranged into", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 243, + 507, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 507, + 256 + ], + "score": 1.0, + "content": "blocks whose layers are connected to all the layers below, forming a dense graph of connections,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 253, + 507, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 507, + 267 + ], + "score": 1.0, + "content": "which permits training very deep architectures with fewer parameters than, for instance, ResNet.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 265, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 348, + 277 + ], + "score": 1.0, + "content": "Here, we use a network with bottleneck compression rate", + "type": "text" + }, + { + "bbox": [ + 348, + 265, + 384, + 276 + ], + "score": 0.89, + "content": "\\theta = 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 265, + 505, + 277 + ], + "score": 1.0, + "content": "(DenseNet-BC), growth rate", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 137, + 286 + ], + "score": 0.9, + "content": "k = 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "and 16 layers in each of the three blocks. The model has nearly 0.8 million parameters. The", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 287, + 299, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 299, + 300 + ], + "score": 1.0, + "content": "specific architecture can be descried as follows:", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 329, + 506, + 363 + ], + "lines": [ + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 132, + 342 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 330, + 159, + 341 + ], + "score": 0.44, + "content": "\\mathrm { D B } ( c )", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 330, + 331, + 342 + ], + "score": 1.0, + "content": "is a dense block, that is a concatenation of", + "type": "text" + }, + { + "bbox": [ + 331, + 332, + 337, + 340 + ], + "score": 0.73, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "convolutional blocks. Each convolutional", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "score": 1.0, + "content": "block is of a set of layers whose output is concatenated with the input to form the input of the next", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 351, + 484, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 484, + 365 + ], + "score": 1.0, + "content": "convolutional block. 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All-CNNyesyesno90.04 (88.35)66.50 (60.54)58.09
yesyeslight93.26 (91.97)70.85 (65.57)63.35
yesyesheavier93.08 (92.44)70.59 (68.62)60.15
noyesno77.99 (87.59)52.39 (60.96)
noyeslight77.20 (92.01)69.71 (68.01)
noyesheavier88.29 (92.18)70.56 (68.40)
nonono84.53 (71.98)57.99 (39.03)56.53
nonolight93.26 (90.10)69.26 (63.00)63.79
WRNnonoheavier93.55 (91.48)71.25 (71.46)61.37
yesyesno91.44 (89.30)71.67 (67.42)54.67
yesyeslight95.01 ( 1(93.48)77.58 (74.23)68.84
yesyesheavier95.60 (94.38)76.96 (74.79)66.82
noyesno91.47 (89.38)71.31 (66.85)
noyeslight94.76 (93.52)77.42 (74.62)
noyesheavier95.58 (94.52)77.47 (73.96)
nonono89.56 (85.45)68.16 (59.90)61.29
nonolight94.71 (93.69)77.08 (75.27)69.80
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ParameterDescriptionRange
fhHoriz. flip1- 2B(0.5)
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8BrightnessU(-0.25,0.25)
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NetworkWDDropoutAug.CIFAR-10CIFAR-100Acc. ImageNet
All-CNNyesyesno90.04 (88.35)66.50 (60.54)58.09
yesyeslight93.26 (91.97)70.85 (65.57)63.35
yesyesheavier93.08 (92.44)70.59 (68.62)60.15
noyesno77.99 (87.59)52.39 (60.96)
noyeslight77.20 (92.01)69.71 (68.01)
noyesheavier88.29 (92.18)70.56 (68.40)
nonono84.53 (71.98)57.99 (39.03)56.53
nonolight93.26 (90.10)69.26 (63.00)63.79
WRNnonoheavier93.55 (91.48)71.25 (71.46)61.37
yesyesno91.44 (89.30)71.67 (67.42)54.67
yesyeslight95.01 ( 1(93.48)77.58 (74.23)68.84
yesyesheavier95.60 (94.38)76.96 (74.79)66.82
noyesno91.47 (89.38)71.31 (66.85)
noyeslight94.76 (93.52)77.42 (74.62)
noyesheavier95.58 (94.52)77.47 (73.96)
nonono89.56 (85.45)68.16 (59.90)61.29
nonolight94.71 (93.69)77.08 (75.27)69.80
nonoheavier95.47 (94.95)77.30 (75.69)69.30
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In contrast, the effect of data", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "augmentation seems to be consistent: just some light augmentation achieves much better results than", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "training only with the original data set and performing heavier augmentation almost always further", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 660, + 392, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 392, + 673 + ], + "score": 1.0, + "content": "improves the test accuracy, without the need for explicit regularization.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 604, + 506, + 673 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "Not surprisingly, batch normalization also contributes to improve the generalization of All-CNN and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "it seems to combine well with data augmentation. 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This can be observed in Table 5, as well as in Table 6, which", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 143, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 505, + 155 + ], + "score": 1.0, + "content": "contains the results of the models trained with fewer examples. 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Results within brackets correspond to the models without batch normalization", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "table_body", + "bbox": [ + 119, + 279, + 493, + 567 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 119, + 279, + 493, + 567 + ], + "spans": [ + { + "bbox": [ + 119, + 279, + 493, + 567 + ], + "score": 0.984, + "html": "
Pct. Data Expl. Reg.Aug. schemeTest CIFAR-10Test CIFAR-100
80 %All-CNNWRNAll-CNNWRN
yesno89.41 (86.61)90.2763.93 (52.51)70.41
yeslight92.20 (91.25)94.0767.63 (63.24)75.66
yesheavier92.83 (91.42)94.5768.01 (65.89)75.51
nono83.04 (75.00)88.9855.78 (35.95)66.10
nolight92.25 (88.75)93.9769.05 (56.81)75.07
noheavier92.80 (90.55)94.8469.40 (63.57)75.38
50 %yesno85.88 (82.33)86.9658.24 (44.94)63.60
yeslight90.30 (87.37)92.6561.03 (54.68)70.83
yesheavier90.09 (88.94)92.8663.25 (57.91)70.33
nono78.61 (69.46)85.5648.62 (31.81)60.64
nolight90.21 (84.38)91.8762.83 (47.84)69.97
noheavier90.76 (87.44)92.7764.41 ( (55.27)70.72
10 %yesno67.19 (61.61)70.7333.77 (19.79)34.11
yeslight76.03 (69.18)76.0038.51 (22.79)36.65
yesheavier78.69 (64.14)78.1038.34 (26.29)38.93
nono60.97 (41.07)60.3926.05 (17.55)23.65
nolight78.29 (67.65)79.1937.84 (24.34)39.24
noheavier79.87 (70.64)80.2939.85 (26.31)41.44
1%yesno
yes27.53 (29.90)33.459.16 (3.60)7.47
yeslight heavier37.18 (26.85)34.13 41.029.64 (3.65) 9.14 (2.52)7.50 8.37
nono42.73 (26.87) 38.89 (35.68)38.639.50 (5.51)9.47
nolight44.35 (29.29)43.849.87 (5.36)9.91
noheavier47.60 (33.72)47.1411.45 (3.57)11.03
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Already with", + "type": "text" + }, + { + "bbox": [ + 485, + 616, + 505, + 627 + ], + "score": 0.85, + "content": "80 \\%", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 124, + 639 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 627, + 144, + 637 + ], + "score": 0.87, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "of the data better results are obtained in some cases, but the differences become much", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 230, + 651 + ], + "score": 1.0, + "content": "bigger when training with only", + "type": "text" + }, + { + "bbox": [ + 230, + 638, + 249, + 649 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 637, + 266, + 651 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 267, + 638, + 281, + 648 + ], + "score": 0.86, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "of the available data. It seems that explicit regularization", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "prevents the model from both fitting the data and generalizing well, whereas data augmentation", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 365, + 672 + ], + "score": 1.0, + "content": "provides useful transformed examples. Interestingly, with only", + "type": "text" + }, + { + "bbox": [ + 366, + 660, + 380, + 671 + ], + "score": 0.86, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "of the data, even without data", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 671, + 394, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 394, + 684 + ], + "score": 1.0, + "content": "augmentation the models without explicit regularization perform better.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "The same effect can be observed in Table 7, where both the shallower and deeper versions of All-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "CNN perform much worse when trained with explicit regularization, even when trained without data", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "augmentation. This is another piece of evidence that explicit regularization needs to be used very", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 720, + 462, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 462, + 733 + ], + "score": 1.0, + "content": "carefully, it requires a proper tuning of the hyperparameters and is not always beneficial.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5 + } + ], + "page_idx": 16, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 94 + ], + "score": 1.0, + "content": "A probable explanation is, again, that the regularization hyperparameters would need to be readjusted", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 241, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 241, + 106 + ], + "score": 1.0, + "content": "with a change of the architecture.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 106, + 83, + 505, + 106 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 110, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 109, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 506, + 123 + ], + "score": 1.0, + "content": "Furthermore, it seems that the gap between the performance of the models trained with and without", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 120, + 506, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 120, + 506, + 135 + ], + "score": 1.0, + "content": "batch normalization is smaller when they are trained without explicit regularization and when they", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 132, + 505, + 144 + ], + "spans": [ + { + "bbox": [ + 106, + 132, + 505, + 144 + ], + "score": 1.0, + "content": "include heavier data augmentation. This can be observed in Table 5, as well as in Table 6, which", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 143, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 143, + 505, + 155 + ], + "score": 1.0, + "content": "contains the results of the models trained with fewer examples. It is important to note as well", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 153, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 506, + 167 + ], + "score": 1.0, + "content": "the benefits of batch normalization for obtaining better results when training with fewer examples.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 469, + 178 + ], + "score": 1.0, + "content": "However, it is surprising that there is only a small drop in the performance of WRN—", + "type": "text" + }, + { + "bbox": [ + 469, + 165, + 505, + 176 + ], + "score": 0.52, + "content": "9 5 . 4 7 ~ \\%", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 117, + 189 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 176, + 152, + 187 + ], + "score": 0.85, + "content": "9 4 . 9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "without regularization— from removing the batch normalization layers of the residual", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 186, + 506, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 506, + 201 + ], + "score": 1.0, + "content": "blocks, given that they were identified as key components of ResNet (He et al., 2016; Zagoruyko &", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 185, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 185, + 210 + ], + "score": 1.0, + "content": "Komodakis, 2016).", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 109, + 506, + 210 + ] + }, + { + "type": "table", + "bbox": [ + 119, + 279, + 493, + 567 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 241, + 505, + 264 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 241, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 385, + 254 + ], + "score": 1.0, + "content": "Table 6: Test accuracy of All-CNN and WRN when training with only", + "type": "text" + }, + { + "bbox": [ + 386, + 242, + 407, + 253 + ], + "score": 0.84, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 241, + 411, + 254 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 411, + 242, + 433, + 253 + ], + "score": 0.82, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 241, + 436, + 254 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 437, + 242, + 459, + 253 + ], + "score": 0.83, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 241, + 476, + 254 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 477, + 242, + 493, + 252 + ], + "score": 0.84, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 241, + 506, + 254 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "the available examples. Results within brackets correspond to the models without batch normalization", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "table_body", + "bbox": [ + 119, + 279, + 493, + 567 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 119, + 279, + 493, + 567 + ], + "spans": [ + { + "bbox": [ + 119, + 279, + 493, + 567 + ], + "score": 0.984, + "html": "
Pct. Data Expl. Reg.Aug. schemeTest CIFAR-10Test CIFAR-100
80 %All-CNNWRNAll-CNNWRN
yesno89.41 (86.61)90.2763.93 (52.51)70.41
yeslight92.20 (91.25)94.0767.63 (63.24)75.66
yesheavier92.83 (91.42)94.5768.01 (65.89)75.51
nono83.04 (75.00)88.9855.78 (35.95)66.10
nolight92.25 (88.75)93.9769.05 (56.81)75.07
noheavier92.80 (90.55)94.8469.40 (63.57)75.38
50 %yesno85.88 (82.33)86.9658.24 (44.94)63.60
yeslight90.30 (87.37)92.6561.03 (54.68)70.83
yesheavier90.09 (88.94)92.8663.25 (57.91)70.33
nono78.61 (69.46)85.5648.62 (31.81)60.64
nolight90.21 (84.38)91.8762.83 (47.84)69.97
noheavier90.76 (87.44)92.7764.41 ( (55.27)70.72
10 %yesno67.19 (61.61)70.7333.77 (19.79)34.11
yeslight76.03 (69.18)76.0038.51 (22.79)36.65
yesheavier78.69 (64.14)78.1038.34 (26.29)38.93
nono60.97 (41.07)60.3926.05 (17.55)23.65
nolight78.29 (67.65)79.1937.84 (24.34)39.24
noheavier79.87 (70.64)80.2939.85 (26.31)41.44
1%yesno
yes27.53 (29.90)33.459.16 (3.60)7.47
yeslight heavier37.18 (26.85)34.13 41.029.64 (3.65) 9.14 (2.52)7.50 8.37
nono42.73 (26.87) 38.89 (35.68)38.639.50 (5.51)9.47
nolight44.35 (29.29)43.849.87 (5.36)9.91
noheavier47.60 (33.72)47.1411.45 (3.57)11.03
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Already with", + "type": "text" + }, + { + "bbox": [ + 485, + 616, + 505, + 627 + ], + "score": 0.85, + "content": "80 \\%", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 124, + 639 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 627, + 144, + 637 + ], + "score": 0.87, + "content": "50 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "of the data better results are obtained in some cases, but the differences become much", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 230, + 651 + ], + "score": 1.0, + "content": "bigger when training with only", + "type": "text" + }, + { + "bbox": [ + 230, + 638, + 249, + 649 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 637, + 266, + 651 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 267, + 638, + 281, + 648 + ], + "score": 0.86, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "of the available data. It seems that explicit regularization", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "prevents the model from both fitting the data and generalizing well, whereas data augmentation", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 365, + 672 + ], + "score": 1.0, + "content": "provides useful transformed examples. Interestingly, with only", + "type": "text" + }, + { + "bbox": [ + 366, + 660, + 380, + 671 + ], + "score": 0.86, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "of the data, even without data", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 671, + 394, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 394, + 684 + ], + "score": 1.0, + "content": "augmentation the models without explicit regularization perform better.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 604, + 506, + 684 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "The same effect can be observed in Table 7, where both the shallower and deeper versions of All-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "CNN perform much worse when trained with explicit regularization, even when trained without data", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "augmentation. This is another piece of evidence that explicit regularization needs to be used very", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 720, + 462, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 462, + 733 + ], + "score": 1.0, + "content": "carefully, it requires a proper tuning of the hyperparameters and is not always beneficial.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 687, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 120, + 115, + 492, + 208 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 506, + 103 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 80, + 507, + 93 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 507, + 93 + ], + "score": 1.0, + "content": "Table 7: Test accuracy of the shallower and deeper versions of All-CNN on CIFAR-10 and CIFAR-100.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 91, + 417, + 104 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 417, + 104 + ], + "score": 1.0, + "content": "Results in parentheses show the difference with respect to the original model.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 120, + 115, + 492, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 120, + 115, + 492, + 208 + ], + "spans": [ + { + "bbox": [ + 120, + 115, + 492, + 208 + ], + "score": 0.981, + "html": "
Expl. Reg.Aug.Test CIFAR-10Test CIFAR-100
ShallowerDeeperShallowerDeeper
yesno76.45 (-13.59)86.26 (-3.78)51.31 (-9.23)49.06 (-11.48)
yeslight82.02 (-11.24)85.04 (-8.22)56.81 (-8.76)52.03 (-13.54)
yesheavier86.66 (-6.42)88.46 (-4.62)58.64 (-9.98)51.78 (-16.84)
nono85.22 (+0.69)83.30 (-1.23)58.95 (+0.96)54.22 (-3.77)
nolight90.02 (-3.24)93.46 (+0.20)65.51 (-3.75)72.16 (+2.90)
noheavier90.34 (-3.21)94.19 (+0.64)65.87 (-5.38)73.30 (+2.35)
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WDDropoutAug.Norm CIFAR-10Norm CIFAR-100
All-CNNWRNAll-CNNWRN
yesyesno48.7 (64.9)101.4 (122.6)76.5 (97.9)134.8 (126.5)
yesyeslight52.7 (63.2)106.1 (123.9)77.6 (86.8)140.8 (129.3)
yesyesheavier57.6 (62.8)119.3 (125.3)78.1 (83.1)164.2 (132.5)
noyesno52.4 (70.5)153.3 (122.5)79.7 (103.3)185.1 (126.5)
noyeslight57.0 (67.9)160.6 (123.9)83.6 (93.0)199.0 (129.4)
noyesheavier62.8 (67.5)175.1 (125.2)84.0 (88.0)225.4 (132.5)
nonono37.3 (63.7)139.0 (120.4)47.6 (102.7)157.9 (122.0)
nonolight47.0 (69.5)153.6 (123.2)80.0 (108.9)187.0 (127.2)
nonoheavier62.0 (71.7)170.4 (125.4)91.7 (91.7)217.6 (132.9)
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One hypothesis is that the amount of regularization is not properly adjusted through", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 590, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 506, + 602 + ], + "score": 1.0, + "content": "the hyperparameters. This could be reflected in the norm of the learned weights, shown in Table 9.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "However, the norm alone does not seem to fully explain the large performance differences between", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "the different models. Finding the exact reasons why the regularized models not able to generalize", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 623, + 411, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 411, + 635 + ], + "score": 1.0, + "content": "well might require a much thorough analysis and we leave it as future work.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24 + }, + { + "type": "title", + "bbox": [ + 107, + 651, + 342, + 664 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 342, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 342, + 666 + ], + "score": 1.0, + "content": "E ON THE TAXONOMY OF REGULARIZATION", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "Although it is out of the scope of this paper to elaborated on the taxonomy of regularization techniques", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "for deep neural networks, an important contribution of this work is providing definitions of explicit", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "and implicit regularization, which have been used ambiguously in the literature before. It is therefore", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "worth mentioning here some of the previous works that have used these terms and to point to literature", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 720, + 488, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 488, + 734 + ], + "score": 1.0, + "content": "that has specifically elaborated on the regularization taxonomy or proposed other related terms.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31 + } + ], + "page_idx": 17, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 763 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 763 + ], + "score": 1.0, + "content": "18", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 120, + 115, + 492, + 208 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 506, + 103 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 80, + 507, + 93 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 507, + 93 + ], + "score": 1.0, + "content": "Table 7: Test accuracy of the shallower and deeper versions of All-CNN on CIFAR-10 and CIFAR-100.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 91, + 417, + 104 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 417, + 104 + ], + "score": 1.0, + "content": "Results in parentheses show the difference with respect to the original model.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 120, + 115, + 492, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 120, + 115, + 492, + 208 + ], + "spans": [ + { + "bbox": [ + 120, + 115, + 492, + 208 + ], + "score": 0.981, + "html": "
Expl. Reg.Aug.Test CIFAR-10Test CIFAR-100
ShallowerDeeperShallowerDeeper
yesno76.45 (-13.59)86.26 (-3.78)51.31 (-9.23)49.06 (-11.48)
yeslight82.02 (-11.24)85.04 (-8.22)56.81 (-8.76)52.03 (-13.54)
yesheavier86.66 (-6.42)88.46 (-4.62)58.64 (-9.98)51.78 (-16.84)
nono85.22 (+0.69)83.30 (-1.23)58.95 (+0.96)54.22 (-3.77)
nolight90.02 (-3.24)93.46 (+0.20)65.51 (-3.75)72.16 (+2.90)
noheavier90.34 (-3.21)94.19 (+0.64)65.87 (-5.38)73.30 (+2.35)
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WDDropoutAug.Norm CIFAR-10Norm CIFAR-100
All-CNNWRNAll-CNNWRN
yesyesno48.7 (64.9)101.4 (122.6)76.5 (97.9)134.8 (126.5)
yesyeslight52.7 (63.2)106.1 (123.9)77.6 (86.8)140.8 (129.3)
yesyesheavier57.6 (62.8)119.3 (125.3)78.1 (83.1)164.2 (132.5)
noyesno52.4 (70.5)153.3 (122.5)79.7 (103.3)185.1 (126.5)
noyeslight57.0 (67.9)160.6 (123.9)83.6 (93.0)199.0 (129.4)
noyesheavier62.8 (67.5)175.1 (125.2)84.0 (88.0)225.4 (132.5)
nonono37.3 (63.7)139.0 (120.4)47.6 (102.7)157.9 (122.0)
nonolight47.0 (69.5)153.6 (123.2)80.0 (108.9)187.0 (127.2)
nonoheavier62.0 (71.7)170.4 (125.4)91.7 (91.7)217.6 (132.9)
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One hypothesis is that the amount of regularization is not properly adjusted through", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 590, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 506, + 602 + ], + "score": 1.0, + "content": "the hyperparameters. This could be reflected in the norm of the learned weights, shown in Table 9.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "However, the norm alone does not seem to fully explain the large performance differences between", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "the different models. Finding the exact reasons why the regularized models not able to generalize", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 623, + 411, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 411, + 635 + ], + "score": 1.0, + "content": "well might require a much thorough analysis and we leave it as future work.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 557, + 506, + 635 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 651, + 342, + 664 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 342, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 342, + 666 + ], + "score": 1.0, + "content": "E ON THE TAXONOMY OF REGULARIZATION", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "Although it is out of the scope of this paper to elaborated on the taxonomy of regularization techniques", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "for deep neural networks, an important contribution of this work is providing definitions of explicit", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "and implicit regularization, which have been used ambiguously in the literature before. It is therefore", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "worth mentioning here some of the previous works that have used these terms and to point to literature", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 720, + 488, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 488, + 734 + ], + "score": 1.0, + "content": "that has specifically elaborated on the regularization taxonomy or proposed other related terms.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 676, + 505, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 147, + 116, + 465, + 208 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 80, + 505, + 102 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 79, + 505, + 93 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 505, + 93 + ], + "score": 1.0, + "content": "Table 9: Frobenius norm of the weight matrices learned by the shallower and deeper versions of the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 91, + 306, + 102 + ], + "spans": [ + { + "bbox": [ + 106, + 91, + 306, + 102 + ], + "score": 1.0, + "content": "All-CNN network on CIFAR-10 and CIFAR-100.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 147, + 116, + 465, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 147, + 116, + 465, + 208 + ], + "spans": [ + { + "bbox": [ + 147, + 116, + 465, + 208 + ], + "score": 0.978, + "html": "
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", + "type": "table", + "image_path": "4c306ebb16cb012f9597f9aee2a7e33a870f42a16b935265471b8268140b25bf.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 147, + 116, + 465, + 146.66666666666666 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 147, + 146.66666666666666, + 465, + 177.33333333333331 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 147, + 177.33333333333331, + 465, + 207.99999999999997 + ], + "spans": [], + "index": 4 + } + ] + } + ], + "index": 1.75 + }, + { + "type": "text", + "bbox": [ + 106, + 232, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 106, + 232, + 506, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 506, + 245 + ], + "score": 1.0, + "content": "Neyshabur et al. (2014) observed that the size of neural networks could not explain and control by itself", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "the effective capacity of neural networks and proposed that other elements should implicitly regularize", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 254, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 505, + 267 + ], + "score": 1.0, + "content": "the models. However, no definitions or clear distinction between explicit and implicit regularization", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "score": 1.0, + "content": "was provided. Later, Zhang et al. (2017) compared different regularization techniques and mentioned", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 275, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 505, + 290 + ], + "score": 1.0, + "content": "the role of implicit regularization, but did not provide definitions either, and, importantly, they", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 288, + 506, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 302 + ], + "score": 1.0, + "content": "considered data augmentation an explicit form of regularization. We have argued against that view", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 299, + 327, + 311 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 327, + 311 + ], + "score": 1.0, + "content": "throughout this paper, especially in Sections 2 and 6.1.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 315, + 505, + 371 + ], + "lines": [ + { + "bbox": [ + 105, + 315, + 506, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 328 + ], + "score": 1.0, + "content": "An extensive review of the taxonomy of regularization techniques was carried out by Kukacka et al. ˇ", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 325, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 340 + ], + "score": 1.0, + "content": "(2017). Although no distinction is made between explicit and implicit regularization, they define the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 336, + 507, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 507, + 352 + ], + "score": 1.0, + "content": "class regularization via optimization, which is somehow related to implicit regularization. However,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 347, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 104, + 347, + 506, + 363 + ], + "score": 1.0, + "content": "regularization via optimization is more specific than our definition and data augmentation, among", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 357, + 268, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 268, + 374 + ], + "score": 1.0, + "content": "others, would not fall into that category.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 376, + 505, + 443 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "score": 1.0, + "content": "Recently, Guo et al. (2018) provided a distinction between data-independent and data-dependent", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "regularization. They define data-independent regularization as those techniques that impose certain", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "constraint on the hypothesis set, thus constraining the optimization problem. Examples are weight", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 409, + 506, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 506, + 421 + ], + "score": 1.0, + "content": "decay and dropout. We believe this is closely related to our definition of explicit regularization.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 419, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 505, + 433 + ], + "score": 1.0, + "content": "Then, they define data-dependent regularization as those techniques that make assumptions on the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 431, + 439, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 439, + 444 + ], + "score": 1.0, + "content": "hypothesis set with respect to the training data, as is the case of data augmentation.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 503 + ], + "lines": [ + { + "bbox": [ + 106, + 447, + 507, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 507, + 461 + ], + "score": 1.0, + "content": "While we acknowledge the usefulness of such taxonomy, we believe the division between data-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "independent and dependent regularization leaves some ambiguity about other techniques, such as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "batch-normalization, which neither imposes an explicit constraint on H nor on the training data. The", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "score": 1.0, + "content": "taxonomy of explicit vs. implicit regularization is however complete, since implicit regularization", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "refers to any regularization effect that does not come from explicit (or data-independent) techniques.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "Finally, we argue it would be useful to distinguish between domain-specific, perceptually-motivated", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "data augmentation and other kinds of data-dependent regularization. Data augmentation ultimately", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "aims at creating new examples that could be plausible transformations of the real-world objects. In", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 542, + 504, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 504, + 553 + ], + "score": 1.0, + "content": "other words, the augmented samples should be no different in nature than the available data. In", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "statistical terms, they should belong to the same underlying probability distribution. In contrast, one", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "can think of data manipulations that would not mimic any plausible transformation of the data, which", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "still can improve generalization and thus fall into the category of data-dependent regularization (and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 586, + 499, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 499, + 598 + ], + "score": 1.0, + "content": "implicit regularization). One example is mixup, which is the subject of study of Guo et al. 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(2014) observed that the size of neural networks could not explain and control by itself", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "the effective capacity of neural networks and proposed that other elements should implicitly regularize", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 254, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 505, + 267 + ], + "score": 1.0, + "content": "the models. However, no definitions or clear distinction between explicit and implicit regularization", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 506, + 278 + ], + "score": 1.0, + "content": "was provided. Later, Zhang et al. 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Although no distinction is made between explicit and implicit regularization, they define the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 336, + 507, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 507, + 352 + ], + "score": 1.0, + "content": "class regularization via optimization, which is somehow related to implicit regularization. However,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 347, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 104, + 347, + 506, + 363 + ], + "score": 1.0, + "content": "regularization via optimization is more specific than our definition and data augmentation, among", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 357, + 268, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 268, + 374 + ], + "score": 1.0, + "content": "others, would not fall into that category.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 104, + 315, + 507, + 374 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 376, + 505, + 443 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "score": 1.0, + "content": "Recently, Guo et al. (2018) provided a distinction between data-independent and data-dependent", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "regularization. They define data-independent regularization as those techniques that impose certain", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "constraint on the hypothesis set, thus constraining the optimization problem. Examples are weight", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 409, + 506, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 506, + 421 + ], + "score": 1.0, + "content": "decay and dropout. We believe this is closely related to our definition of explicit regularization.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 419, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 505, + 433 + ], + "score": 1.0, + "content": "Then, they define data-dependent regularization as those techniques that make assumptions on the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 431, + 439, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 439, + 444 + ], + "score": 1.0, + "content": "hypothesis set with respect to the training data, as is the case of data augmentation.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 376, + 506, + 444 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 503 + ], + "lines": [ + { + "bbox": [ + 106, + 447, + 507, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 507, + 461 + ], + "score": 1.0, + "content": "While we acknowledge the usefulness of such taxonomy, we believe the division between data-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "independent and dependent regularization leaves some ambiguity about other techniques, such as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "batch-normalization, which neither imposes an explicit constraint on H nor on the training data. The", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "score": 1.0, + "content": "taxonomy of explicit vs. implicit regularization is however complete, since implicit regularization", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "refers to any regularization effect that does not come from explicit (or data-independent) techniques.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 447, + 507, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "Finally, we argue it would be useful to distinguish between domain-specific, perceptually-motivated", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "data augmentation and other kinds of data-dependent regularization. Data augmentation ultimately", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "aims at creating new examples that could be plausible transformations of the real-world objects. In", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 542, + 504, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 504, + 553 + ], + "score": 1.0, + "content": "other words, the augmented samples should be no different in nature than the available data. In", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "statistical terms, they should belong to the same underlying probability distribution. In contrast, one", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "can think of data manipulations that would not mimic any plausible transformation of the data, which", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "still can improve generalization and thus fall into the category of data-dependent regularization (and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 586, + 499, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 499, + 598 + ], + "score": 1.0, + "content": "implicit regularization). One example is mixup, which is the subject of study of Guo et al. 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NetworkWDDropoutAug.CIFAR-10CIFAR-100Acc. ImageNet
All-CNNyesyesno90.04 (88.35)66.50 (60.54)58.09
yesyeslight93.26 (91.97)70.85 (65.57)63.35
yesyesheavier93.08 (92.44)70.59 (68.62)60.15
noyesno77.99 (87.59)52.39 (60.96)
noyeslight77.20 (92.01)69.71 (68.01)
noyesheavier88.29 (92.18)70.56 (68.40)
nonono84.53 (71.98)57.99 (39.03)56.53
nonolight93.26 (90.10)69.26 (63.00)63.79
WRNnonoheavier93.55 (91.48)71.25 (71.46)61.37
yesyesno91.44 (89.30)71.67 (67.42)54.67
yesyeslight95.01 ( 1(93.48)77.58 (74.23)68.84
yesyesheavier95.60 (94.38)76.96 (74.79)66.82
noyesno91.47 (89.38)71.31 (66.85)
noyeslight94.76 (93.52)77.42 (74.62)
noyesheavier95.58 (94.52)77.47 (73.96)
nonono89.56 (85.45)68.16 (59.90)61.29
nonolight94.71 (93.69)77.08 (75.27)69.80
nonoheavier95.47 (94.95)77.30 (75.69)69.30
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ParameterDescriptionRange
fhHoriz. flip1- 2B(0.5)
txHoriz. translationu(-0.1,0.1)
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?Shear angleu(-0.15,0.15)
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8BrightnessU(-0.25,0.25)
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Pct. Data Expl. Reg.Aug. schemeTest CIFAR-10Test CIFAR-100
80 %All-CNNWRNAll-CNNWRN
yesno89.41 (86.61)90.2763.93 (52.51)70.41
yeslight92.20 (91.25)94.0767.63 (63.24)75.66
yesheavier92.83 (91.42)94.5768.01 (65.89)75.51
nono83.04 (75.00)88.9855.78 (35.95)66.10
nolight92.25 (88.75)93.9769.05 (56.81)75.07
noheavier92.80 (90.55)94.8469.40 (63.57)75.38
50 %yesno85.88 (82.33)86.9658.24 (44.94)63.60
yeslight90.30 (87.37)92.6561.03 (54.68)70.83
yesheavier90.09 (88.94)92.8663.25 (57.91)70.33
nono78.61 (69.46)85.5648.62 (31.81)60.64
nolight90.21 (84.38)91.8762.83 (47.84)69.97
noheavier90.76 (87.44)92.7764.41 ( (55.27)70.72
10 %yesno67.19 (61.61)70.7333.77 (19.79)34.11
yeslight76.03 (69.18)76.0038.51 (22.79)36.65
yesheavier78.69 (64.14)78.1038.34 (26.29)38.93
nono60.97 (41.07)60.3926.05 (17.55)23.65
nolight78.29 (67.65)79.1937.84 (24.34)39.24
noheavier79.87 (70.64)80.2939.85 (26.31)41.44
1%yesno
yes27.53 (29.90)33.459.16 (3.60)7.47
yeslight heavier37.18 (26.85)34.13 41.029.64 (3.65) 9.14 (2.52)7.50 8.37
nono42.73 (26.87) 38.89 (35.68)38.639.50 (5.51)9.47
nolight44.35 (29.29)43.849.87 (5.36)9.91
noheavier47.60 (33.72)47.1411.45 (3.57)11.03
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WDDropoutAug.Norm CIFAR-10Norm CIFAR-100
All-CNNWRNAll-CNNWRN
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Expl. Reg.Aug.Test CIFAR-10Test CIFAR-100
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noheavier90.34 (-3.21)94.19 (+0.64)65.87 (-5.38)73.30 (+2.35)
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Explicit Reg.Aug. s .schemeNorm CIFAR-10Norm CIFAR-100
ShallowerDeeperShallowerDeeper
yesno47.962.368.992.1
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yesheavier51.971.566.296.9
nono34.845.464.753.4
nolight45.657.368.877.3
noheavier53.170.768.397.5
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b/parse/train/S1lvm305YQ/S1lvm305YQ.md new file mode 100644 index 0000000000000000000000000000000000000000..f52f1197e753aa3b91a8794a53c57a670f35b402 --- /dev/null +++ b/parse/train/S1lvm305YQ/S1lvm305YQ.md @@ -0,0 +1,365 @@ +# TIMBRETRON: A WAVENET(CYCLEGAN(CQT(AUDIO))) PIPELINE FOR MUSICAL TIMBRE TRANSFER + +Sicong Huang1,2, Qiyang $\mathbf { L i } ^ { 1 , 2 }$ , $\mathbf { C e m \mathbf { A n i l } ^ { 1 , 2 } }$ , Xuchan $\mathbf { B a o } ^ { 1 , 2 }$ , Sageev Oore2,3, Roger B. Grosse1, University of Toronto1, Vector Institute2, Dalhousie University3 + +# ABSTRACT + +In this work, we address the problem of musical timbre transfer, where the goal is to manipulate the timbre of a sound sample from one instrument to match another instrument while preserving other musical content, such as pitch, rhythm, and loudness. In principle, one could apply image-based style transfer techniques to a time-frequency representation of an audio signal, but this depends on having a representation that allows independent manipulation of timbre as well as highquality waveform generation. We introduce TimbreTron, a method for musical timbre transfer which applies “image” domain style transfer to a time-frequency representation of the audio signal, and then produces a high-quality waveform using a conditional WaveNet synthesizer. We show that the Constant Q Transform (CQT) representation is particularly well-suited to convolutional architectures due to its approximate pitch equivariance. Based on human perceptual evaluations, we confirmed that TimbreTron recognizably transferred the timbre while otherwise preserving the musical content, for both monophonic and polyphonic samples. We made an accompanying demo video 1 which we strongly encourage you to watch before reading the paper. + +# 1 INTRODUCTION + +Timbre is a perceptual characteristic that distinguishes one musical instrument from another playing the same note with the same intensity and duration. Modeling timbre is very hard, and it has been referred to as “the psychoacoustician’s multidimensional waste-basket category for everything that cannot be labeled pitch or loudness”2. The timbre of a single note at a single pitch has a nonlinear dependence on the volume, time and even the particular way the instrument is played by the performer. While there is a substantial body of research in timbre modelling and synthesis (Chowning (1973); Risset and Wessel (1999); Smith (2010; 2011)), state-of-the-art musical sound libraries used by orchestral composers for analog instruments (e.g. the Vienna Symphonic Library (GmbH, 2018)) are still obtained by extremely careful audio sampling of real instrument recordings. Being able to model and manipulate timbre electronically carries importance for musicians who wish to experiment with different sounds, or compose for multiple instruments. (Appendix A discusses the components of music in more detail.) + +In this paper, we consider the problem of high quality timbre transfer between audio clips obtained with different instruments. More specifically, the goal is to transform the timbre of a musical recording to match a set of reference recordings while preserving other musical content, such as pitch and loudness. We take inspiration from recent successes in style transfer for images using neural networks (Gatys et al., 2015; Johnson et al., 2016; Ulyanov et al., 2016; Chu et al., 2017). An appealing strategy would be to directly apply image-based style transfer techniques to time-frequency representations of images, such as short-time Fourier transform (STFT) spectrograms. However, needing to convert the generated spectrogram into a waveform presents a fundamental obstacle, since accurate reconstruction requires phase information, which is difficult to predict (Engel et al., 2017), and existing techniques for inferring phase (e.g., Griffin and Lim (1984)) can produce characteristic artifacts which are undesirable for high quality audio generation (Shen et al., 2017). + +Recent years have seen rapid progress on audio generation methods that directly generate high-quality waveforms, such as WaveNet (van den Oord et al., 2016), SampleRNN (Mehri et al., 2016), and Tacotron2 (Shen et al., 2017). WaveNet’s ability to condition on abstract audio representations is particularly relevant, since it enables one to perform manipulations in high-level auditory representations from which reconstruction would have previously been impractical. Tacotron2 performs high-level processing on time-frequency representations of speech, and then uses WaveNet to output high-quality audio conditioned on the generated mel spectrogram. + +We adapt this general strategy to the music domain. We propose TimbreTron, a pipeline that performs CQT-based timbre transfer with high-quality waveform output. It is trained only on unrelated samples of two instruments. For our time-frequency representation, we choose the constant Q transform (CQT), a perceptually motivated representation of music (Brown, 1991). We show that this representation is particularly well-suited to musical timbre transfer and other manipulations due to its pitch equivariance and the way it simultaneously achieves high frequency resolution at low frequencies and high temporal resolution at high frequencies, a property that STFT lacks. + +TimbreTron performs timbre transfer by three steps, shown in Figure 1. First, it computes the CQT spectrogram and treats its log-magnitude values as an image (discarding phase information). Second, it performs timbre transfer in the log-CQT domain using a CycleGAN (Zhu et al., 2017). Finally, it converts the generated log-CQT to a waveform using a conditional WaveNet synthesizer (which implicitly must infer the missing phase information). Empirically, our TimbreTron can successfully perform musical timbre transfer on some instrument pairs. The generated audio samples have realistic timbre that matches the target timbre while otherwise expressing the same musical content (e.g., rhythm, loudness, pitch). We empirically verified that the use of a CQT representation is a crucial component in TimbreTron as it consistently yields qualitatively better timbre transfer than its STFT counterpart. + +![](images/b1f409115a04244b694817878bd6141c021e063d063f1f26e0d9c9e55d01559e.jpg) +Figure 1: The TimbreTron pipeline that performs timbre transfer from Violin to Flute. + +# 2 BACKGROUND + +# 2.1 TIME-FREQUENCY ANALYSIS + +Time-frequency analysis refers to techniques that aim to measure how the signal’s frequency domain representation changes over time. + +Short Time Fourier Transform (STFT) The STFT is one of the most commonly applied techniques for this purpose. The discrete STFT operation can be compactly expressed as follows: + +$$ +S T F T \{ x [ n ] \} ( m , \omega _ { k } ) = \sum _ { n = - \infty } ^ { \infty } x [ n ] w [ n - m ] e ^ { - j \omega _ { k } n } +$$ + +The above formula computes the STFT of an input time-domain signal $x [ n ]$ at time step $m$ and frequency $\omega _ { k }$ . $w$ refers to a zero-centered window function (such as Hann Window), which acts as a means of masking out the values that are away from $m$ . Hence, the equation above can be interpreted as the discrete Fourier transform of the masked signal $x [ n ] w [ n - m ]$ . An example spectrogram is shown in Figure 2. + +Constant Q Transform (CQT). The CQT (Brown, 1991) is another time-frequency analysis technique in which the frequency values are geometrically spaced, with the following particular pattern (Blankertz): $\omega _ { k } = 2 ^ { \frac { k } { b } } \omega _ { 0 }$ . Here, $k \in \{ 1 , 2 , 3 , . . . k _ { m a x } \}$ and $b$ is a constant that determines the geometric separation between the different frequency bands. To make the filter for different frequencies adjacent to each other, the bandwidth of the $k ^ { t h }$ filter is chosen as: $\Delta _ { k } = \omega _ { k + 1 } - \omega _ { k } = \omega _ { k } ( \bar { 2 } ^ { \frac { 1 } { b } } - 1 )$ . This results in a constant frequency to resolution ratio (as known as the “quality (Q) factor”): + +$$ +Q = \frac { \omega _ { k } } { \Delta _ { k } } = ( 2 ^ { \frac { 1 } { b } } - 1 ) ^ { - 1 } +$$ + +Huzaifah (2017) showed that CQT consistently outperformed traditional representations such as Mel-frequency cepstral coefficients (MFCCs) in environmental sound classification tasks using CNNs. + +Rainbowgram. Engel et al. (2017) introduced the rainbowgram, a visualization of the CQT which uses color to encode time derivatives of phase; this highlights subtle timbral features which are invisible in a magnitude CQT. Examples of CQTs and rainbowgrams are shown in Figure 2. + +![](images/a57fed0d78aca8db561770bf227181c481148ab08f6c4d404ef43aa4071cf60d.jpg) +Figure 2: The STFT of a piano clip (left), the CQT of the same piano clip (second left), the rainbowgram of the same piano clip (second right) and the rainbowgram of a flute clip which has the same pitch as the first piano clip (right). Note that the harmonics of different pitches are approximate translations of each other in the CQT representation. + +# 2.2 WAVEFORM RECONSTRUCTION FROM SPECTROGRAMS + +Synthesis (waveform reconstruction) from the aforementioned time-frequency analysis techniques can be performed in the presence of both magnitude and phase information (Allen and Rabiner, 1977) (Holighaus et al., 2013). In the absence of phase information, one of the common methods of synthetically generating phase from STFT magnitude is the Griffin-Lim algorithm (Griffin and Lim, 1984). This algorithm works by randomly guessing the phase values, and iteratively refining them by performing STFT and inverse STFT operations until convergence, while keeping the magnitude values constant throughout the process. Developed to minimize the mean squared error between the target spectrogram and predicted spectrogram, this algorithm is shown to reduce the objective function at each iteration, while having no optimality guarantees due to the non-convexity of the optimization problem (Griffin and Lim, 1984; Sturmel and Daudet) Although recent developments in the field have enabled performing the inverse operation of CQT (Velasco et al., 2011; Fitzgerald et al., 2006), these techniques still require both phase and magnitude information. + +# 2.3 WAVENET + +WaveNet, proposed by van den Oord et al. (2016), is an auto-regressive generative model for generating raw audio waveform with high quality. The model consists of stacks of dilated causal convolution layers with residual and skip connections. WaveNet can be easily modified to perform conditional waveform generation; for example, it can be trained as a vocoder for synthesizing natural, high-quality human speech in TTS systems from low-level acoustic features (e.g., phoneme, fundamental frequency, and spectrogram) (Arik et al., 2017; Shen et al., 2017). One limitation of WaveNet is that the generation of waveforms can be expensive, which is undesirable for training procedures that require auto-regressive generation (e.g., GAN training, scheduled sampling). + +# 2.4 GAN AND CYCLEGAN + +Generative Adversarial Networks (GANs) are a class of implicit generative models introduced by Goodfellow et al. (2014). A GAN consists of a discriminator and a generator, which are trained + +adversarially via a two-player min-max game, where the discriminator attempts to distinguish real data from samples, and the generator attempts to fool the discriminator. The objective is: + +$$ +G ^ { * } , D ^ { * } = \underset { G } { \mathrm { a r g } } \underset { D } { \mathrm { m i n } } \underset { - } { \mathrm { m a x } } \mathbb { E } _ { x \sim \mathcal { X } } [ \log D ( x ) ] + \mathbb { E } _ { z \sim \mathcal { Z } } [ \log ( 1 - D ( G ( z ) ) ) ] , +$$ + +where $D$ is the discriminator, $G$ is the generator, $z$ is the latent code vector sampled from Gaussian distribution $\mathcal { Z }$ , and $x$ is sampled from data distribution $\mathcal { X }$ . GANs constituted a significant advance over previous generative models in terms of the quality of the generated samples. + +CycleGAN (Zhu et al., 2017) is an architecture for unsupervised domain transfer: learning a mapping between two domains without any paired data. (Similar architectures were proposed independently by Yi et al. (2017); Liu et al. (2017); Kim et al. (2017).) The CycleGAN learns two generator mappings: $F : \mathcal { X } \mathcal { Y }$ and $G : \mathcal { y } \mathcal { x }$ ; and two discriminators: $D _ { \mathcal { X } } : \mathcal { X } [ 0 , 1 ]$ and $D y : \mathcal { Y } [ 0 , 1 ]$ . The loss function of CycleGAN consists of both adversarial losses (Eqn. 1), combined with a cycle consistency constraint which forces it to preserve the structure of the input: + +$$ +\mathcal { L } _ { \mathrm { c y c } } ( F , G , \mathcal { X } , \mathcal { Y } ) = \mathbb { E } _ { x \sim \mathcal { X } } [ \| G ( F ( x ) ) - x \| _ { 1 } ] + \mathbb { E } _ { y \sim \mathcal { Y } } [ \| F ( G ( y ) ) - y \| _ { 1 } ] +$$ + +# 3 MUSIC PROCESSING WITH CONSTANT-Q-TRANSFORM REPRESENTATION + +This section focuses on the first and last steps of the TimbreTron pipeline: the steps related to the transforming raw waveforms to and from time frequency representations. We explain our reasoning for choosing the CQT representation and introduce our conditional WaveNet synthesizer which converts a (possibly generated) CQT to a high-quality audio waveform. + +# 3.1 CQT FOR MUSIC REPRESENTATION + +The CQT representation (Brown, 1991) has desirable characteristics that make it especially suitable for processing musical audio signals. It uses a logarithmic representation of frequency, where the frequencies are generally chosen to exactly cover all the pitches present in the twelve tone, welltempered scale. Unlike the STFT, the CQT has higher frequency resolution towards lower frequencies, which leads to better pitch resolution for lower register instruments (such as cello or trombone), and higher time resolution towards higher frequencies, which is advantageous for recovering the fine timing of rhythms. Since individual notes contain information across many frequencies (due to their pattern of overtones), this combination of resolutions ought to allow simultaneous recovery of pitch and timing information for any particular note. (While this information is preserved in the signal, waveform recovery is a difficult problem in practice; this is discussed in Section 3.2). + +Another key feature of the CQT representation in the context of TimbreTron is (approximate) pitch equivariance. Thanks to the geometric spacing of frequencies, a pitch shift corresponds (approximately) to a vertical translation of the “spectral signature” (unique pattern of harmonics) of musical instruments. This means that the convolution operation is approximately equivariant under pitch translation, which allows convolutional architectures to share structure between different pitches. A demonstration of this can be seen in Figure 3. Since the harmonics of a musical instrument are approximately integer multiples of the fundamental frequency, scaling the fundamental frequency (hence the pitch) corresponds to a constant shift in all of the harmonics in log scale. + +We also want to emphasize on some of the reasons why the equivariance is only approximate: + +• Imperfect multiples: In real audio samples from instruments, the harmonics are only approximately integer multiples of the fundamental frequency, due to the material properties of the instruments producing the sound. Dependence of spectral signature on pitch and beyond: For each pitch, each instrument has a slightly different spectral signature, meaning that a simple translation in the frequency axis cannot completely account for the changes in the frequency spectrum. Furthermore, even at a given pitch it can still change depending on how it’s played. + +We used 16ms frame hop (256 time steps under 16kHz). More details can be found in Appendix B. + +![](images/e442b9be8a1678a84bb23998a313c9a0c0c16bbf0976d414ba21b7f0dc9970a9.jpg) +Figure 3: The rainbowgram of a C major scale played by piano. + +3.2 WAVEFORM RECONSTRUCTION FROM CQT REPRESENTATION USING CONDITIONAL WAVENET + +Since empirical studies have shown it is difficult to directly predict phase in time-frequency representations (Engel et al., 2017), we discard the phase information and perform the image-based processing directly on a log-amplitude CQT representation. Therefore, in order to recover a waveform consistent with the generated CQT, we need to infer the missing phase information, which is a difficult problem (Velasco et al., 2011). + +To convert log magnitude CQT spectrograms back to waveforms, we use a 40-layer conditional WaveNet with the dilation rate of $2 ^ { k }$ (mod 10) for the $k ^ { \mathrm { { t h } } }$ layer. The model is trained using pairs of a CQT and a waveform; this requires only a collection of unlabeled waveforms, since the CQT can be computed from the waveform.3 See Appendix C.4 for the details of the WaveNet architecture. WaveNet reconstructed audio samples can be found here4 + +Beam Search Because the conditional WaveNet generates stochastically from its predictive distribution, it sometimes produces low-probability outputs, such as hallucinated notes. Also, because it has difficulty modeling the local loudness, the loudness often drifts significantly over the timescale of seconds. While these issues could potentially be addressed by improving the WaveNet architecture or training method, we instead take the perspective that the WaveNet’s role is to produce a waveform which matches the target CQT. Since the above artifacts are macro-scale errors which happen only stochastically, the WaveNet has a significant probability of producing high-quality outputs over a short segment (e.g. hundreds of milliseconds). Therefore, we perform a beam search using the WaveNet’s generations in order to better match the target CQT. See Appendix C.5 for more details about our beam search procedure. + +Reverse Generation In early experiments, we observed that percussive attacks (onset characteristics of an instrument in which it reaches a large amplitude quickly) are sometimes hard to model during forward generation, resulting in multiple attacks or missing attacks. We believe this problem occurs because it is difficult to determine the onset of a note from a CQT spectrogram (in which information is blurred in frequency), and it is difficult to predict precise pitch at the note onset due to the broad frequency spectrum at that moment. We found that the problems of missing and doubled attacks could be mostly solved by having the WaveNet generate the waveform samples in reverse order, from end to beginning. + +# 4 TIMBRE TRANSFER WITH CYCLEGAN ON CQT REPRESENTATION + +In this section, we describe the middle step of our TimbreTron pipeline, which performs timbre transfer on log-amplitude CQT representations of the waveforms. As training data, we have collections of unrelated recordings of different musical instruments. Hence, our timbre transfer problem on log-amplitude CQT “images” is an instance of unsupervised “image-to-image” translation. To achieve this, we applied the CycleGAN architecture, but adapted it in several ways to make it more effective for time-frequency representations of audio. + +Removing Checkerboard Artifacts The convnet-resnet-deconvnet based generators from the original CycleGAN led to significant checkerboard artifacts in the generated CQT, which corresponds to severe noise in the generated waveform. To alleviate this problem, we replaced the deconvolution operation with nearest neighbor interpolation followed with regular convolution, as recommended by Odena et al. (2016). + +Full-Spectrogram Discriminator Due to the local nature of the original CycleGAN’s transformations, Zhu et al. (2017) found it advantageous for the discriminator only to process a local patch of the image. However, when generating spectrograms, it’s crucial that different partials of the same pitch be consistent with each other; a discriminator which is local in frequency cannot enforce this. Therefore, we gave the discriminator the full spectrogram as input. + +Gradient Penalty(GP) Replacing the patch discriminator with the full-spectrogram one led to unstable training dynamics because the discriminator was too powerful. To compensate for this, we added the Gradient Penalty(GP) (Gulrajani et al., 2017) to enforce a soft Lipschitz constraint: + +$$ +\mathcal { L } _ { \mathrm { G P } } ( G , D , \mathcal { Z } , \hat { \mathcal { X } } ) = \alpha \cdot \mathbb { E } _ { \hat { x } \sim \hat { x } } [ ( \| \nabla _ { \hat { x } } D ( \hat { x } ) \| _ { 2 } - 1 ) ^ { 2 } ] +$$ + +Here $\hat { \mathcal X }$ are samples taken along a line between the true data distribution $\mathcal { X }$ and the generator’s data distribution $\mathcal { X } _ { g } = \{ F ( z ) | z \sim \mathcal { Z } \}$ via convex combination of a real data point and a generated data point. Fedus et al. (2018) showed empirically that the GP can stabilize GAN training. Furthermore, Gomez et al. (2018) showed that GP can also stabilize and improve CycleGAN training with word embeddings. We observed the same benefits in our experiments. + +Identity loss In addition to the adversarial loss and the reconstruction loss that we applied to the generators, we also added identity loss, which was proposed by Zhu et al. (2017) to preserve color composition in the original CycleGAN. Empirically, we found out that the identity loss component helps generators to preserve music content, which yields better audio quality empirically. + +$$ +\mathcal { L } _ { \mathrm { i d e n t i t y } } ( F , G , \mathcal { X } , \mathcal { Y } ) = \mathbb { E } _ { x \sim \mathcal { X } } [ \| F ( x ) - y \| _ { 1 } ] + \mathbb { E } _ { y \sim \mathcal { Y } } [ \| G ( y ) - x \| _ { 1 } ] +$$ + +Our weighting of the identity loss followed a linear decay schedule (details in Appendix C.3). In this way, at the start of training, the generator is encouraged to learn a mapping that preserves pitch; as training progresses, the enforcement is reduced, allowing the generator to learn more expressive mappings. + +See Appendix C.2, C.3, and C.6 for more details of our CycleGAN architecture, and training and generation methods. + +# 5 RELATED WORK + +There is a long history of using clever representations of images or audio signals in order to perform manipulations which are not straightforward on the raw signals. In a seminal work, Tenenbaum and Freeman (1999) used a multilinear representation to separate style and content of images. Ulyanov and Lebedev (2016) and Verma and Smith (2018) then applied the optimization technique proposed by Gatys et al. (2015) to the audio domain by applying the image-based architectures to spectrogram representations of the signals. Grinstein et al. (2017) took a similar approach, but used hand-crafted features to extract statistics from the spectrograms. However, a recent review by Dai et al. (2018) pointed out that the disentanglement of timbre and performance control information remains unsolved. + +Zhu et al. (2017) introduced Cycle GAN approach to learn an “unsupervised image-to-image mapping” between two unpaired datasets using two generator networks and two discriminator networks with generative adversarial training. Given the success of the CycleGAN on image domain style transfer, Kaneko and Kameoka (2017) applied the same architecture to translate between human voices in the Mel-cepstral coefficient (MCEP) domain and Brunner et al. (2018) applied it to musical style transfer with MIDI representations. + +What the aforementioned audio style transfer approaches have in common is that the reconstruction quality is limited by the existing non-parametric algorithms for audio reconstruction (e.g., the GriffinLim algorithm for STFT domain reconstruction (Griffin and Lim, 1984), or the WORLD vocoder for MCEP domain reconstruction of speech signals (Morise et al., 2016)), or existing MIDI synthesizer. + +Another strategy is to operate directly on waveforms. van den Oord et al. (2016) demonstrated high-quality audio generation using WaveNet. Following on this, Engel et al. (2017) proposed a WaveNet-style autoencoder model operating on raw waveforms that was capable of creating new, realistic timbres by interpolating between already existing ones. Donahue et al. (2018) proposed a method to synthesize waveforms directly using GANs with improved quality over naive generative models such as SampleRNN (Mehri et al., 2016) and WaveNet. Mor et al. (2018) used an encoderdecoder approach for the Timbre Transfer problem, where they trained a universal encoder to learn a shared representation of raw waveforms of various instruments, as well as instrument-specific decoders to reconstruct waveforms from the shared representation. In a parallel work, Bitton et al. (2018) approached the many-to-many timbre transfer problem with their MoVE model which is based on UNIT (Liu et al., 2017) but with Maximum Mean Discrepancy (MMD) as their objective. While their approach has the advantage of training a single model for many transfer directions, our TimbreTron model has the advantage that it uses a GAN-based training objective, which (in the image domain) typically results in outputs with higher perceptual quality compared to VAEs. + +# 6 EXPERIMENTS + +We conducted two sets of experiments to 1) experiment with pitch-shifting and tempo-changing to further validate our choice of CQT representation; 2) test our full TimbreTron pipeline (along with ablation experiments to validate our architectural choices). See Appendix C for the details of our experimental setup. For this section, please listen to audio samples we provided in our website5 as you read along. + +# 6.1 DATASETS + +Training TimbreTron requires collections of unrelated recordings of the source and target instruments. We built our own MIDI and real world datasets of classical music for training TimbreTron. Within each type of dataset, we gathered unrelated recordings of Piano, Flute, Violin and Harpsichord and then divided the entire dataset into training set and test set. We ensured that the training and test sets were entirely disjoint in terms of musical content by splitting the datasets by musical piece. The training dataset was divided into 4-second chunks, which were the basic units processed by our CycleGAN and WaveNet. Links to source audio and more details about our dataset are given in Appendix C.1 + +# 6.2 DISENTANGLING PITCH AND TEMPO USING CQT REPRESENTATION + +Before presenting our timbre transfer results, we first consider the simpler task of disentangling pitch and tempo. Recall that the two properties are entangled in the time domain representation, e.g. subsampling the waveform simultaneously increases the tempo and raises the pitch. Changing the two independently requires more sophisticated analysis of the signal. In the context of our TimbreTron pipeline, due to the CQT’s pitch equivariance property, pitch shifting can be (approximately) performed simply by translating the CQT representation on the log-frequency axis. (Since the STFT uses linearly sampled frequencies, it does not lend itself easily to this type of simple transformation.) Audio time stretching can be done using either the CQT or STFT representations, combined with the WaveNet synthesizer, by changing the number of waveform samples generated per CQT window. Regardless of the number of samples generated, the WaveNet synthesizer is able to produce the correct pitch based on the local frequency content. (See section 6.2 of the OneDrive folder) In conclusion, our method was able to vary the pitch and tempo independently while otherwise preserving the timbre and musical structure. + +# 6.3 TIMBRE TRANSFER EXPERIMENTS + +While most of our experiments on timbre transfer are conducted on real world music recordings, we also use synthetic MIDI audio data in our ablation studies because it is possible to produce paired dataset for evaluation purpose. In this section, we show our experimental findings on the full TimbreTron pipeline using real world data, verify the correctness of our reasoning about CQT, and show the generalization capability of TimbreTron. + +Comparing CQT and STFT Representations One of the key design choices in TimbreTron was whether to use an STFT or CQT representation. If the STFT representation is used, there is an additional choice of whether to reconstruct using the Griffin-Lim algorithm or the conditional WaveNet synthesizer. We found that the STFT-based pipeline had two problems: 1) it sometimes failed to correctly transfer low pitches, likely due to the STFT’s poor frequency resolution at low frequencies, and 2) it sometimes produced a random permutation of pitches. For example, we ran TimbreTron on a Bach piano sample played by a professional musician. The STFT TimbreTron transposed parts of the longer excerpt by different amounts, and for a few notes in particular, seemed to fail to transpose them by the same amount as it did the others. As is shown by audio samples here6, those problems were completely solved using CQT TimbreTron (likely due to the CQT’s pitch equivariance and higher frequency resolution at low frequencies). Both of these artifacts occurred in both WaveNet and Griffin-Lim reconstruction methods (See Table 4), which suggests that the source of the artifacts are likely to be from the CycleGAN stage of the pipeline. (Please listen to corresponding samples in section 6.3 of the OneDrive folder) This empirically demonstrates the effectiveness of the CQT representation compared with STFT. + +Generalizing from MIDI to Real-World Audio To further explore the generalization capability of TimbreTron, we also tried one domain adaptation experiment where we took a CycleGAN trained on MIDI data, tested it on the real world test dataset, and synthesized audio with Wavenet trained on training real world data. As is shown from the corresponding audio examples in this section7, the quality of generated audio is very good, with pitch preserved and timbre transfered. The ability to generalize from MIDI to real-world is interesting, in that it opens up the possibility of training on paired examples. + +# 6.4 EVALUATION WITH AMAZON MECHANICAL TURK (AMT) + +We conducted a human study to investigate whether TimbreTron could transfer the timbre of a reference collection of signals while otherwise preserving the musical content. We also evaluated the effectiveness of the CQT representation by comparing with a variant of TimbreTron with the CQT replaced by the STFT. All results are showns in Tables 2, 3 and 4, with detailed discussion in this section. A list of questions asked in AMT can be found in Table 1. + +Does TimbreTron transfer timbre while preserving the musical piece? To be effective, the system must transform a given audio input so that the output is (1) recognizable as the same (or appropriately similar) basic musical piece, and (2) recognizable as the target instrument. We address both of these criteria by two types of comparison-based experiments: instrument similarity and musical piece similarity. The questions we asked are listed in Table 1. Table 2 shows results for the instrument similarity comparison and Table 3 shows results for the music piece similarity comparison. The respondents were also asked to provide their subjective judgment about the instrument used for the provided samples. The original questionnaire can be found here8. + +(1) Preserving the musical piece. A different instrument playing the same notes may not always sound subjectively like the same “piece”. When this is done in musical contexts, the notes themselves are often changed in order to adapt pieces between instruments, and this is generally referred to as a + +
Listen to two audio clips: (Embedded link for clip A and clip B)
The clip A and B may be similar in some ways,and different in others. Rate their similarities with the following criteria:
+ +# (i) Instrument similarity: + +(a) Instrument is very similar (e.g. A and B were generated with two different pianos) +(b) Instrument is similar (A and B are in the same family: both wind instrument, or both string instrument, etc) +(c) Instrument is different +(d) I don’t know + +# (ii) Musical piece similarity: + +(a) Musical pieces are nearly identical (e.g. A and B are two different performances of the same piece: perhaps a few notes are different, perhaps timing is slightly different) +(b) Musical pieces are very similar (e.g. A and B are different versions of the same piece, e.g. two different arrangements) +(c) Musical pieces are related (e.g. A and B are two different, but related, pieces) +(d) Entirely different (unrelated) musical piece +(e) I don’t know + +Table 1: The exact question format that was used in the AMT studies. For part (i) and (ii), participants were asked to choose one answer among the options. For part (iii) and (iv), a text box was provided for participants to type in their answers. + +
(iii) What instrument did clip A primarily sound like to you?
(iv) What instrument did clip B primarily sound like to you?
+ +Table 2: AMT results on pair-wise instrument comparisons between our proposed TimbreTron without beam search, ground truth original instrument and ground truth target instrument. This corresponds to question type (i) in Table 1. + +
TotalSamplesAnswerAudio SampleVerySimilarSimilarDifferentDo not know
200Target Instrument & TimbreTronGeneration31.2%40.5%28.0%0.5%
100Original Instrument &Tim+breTron Generation23.0%21.0%56.0%0.0%
+ +new “arrangement” of an existing piece. Thus, even in the cases where we had a recording available in the target domain, the exact notes or timings were not always identical to those in the original recording from which we transferred. Overall, when we did have such a target domain recording of a real instrument, we found that for the pair of (Real Target Instrument, TimbreTron Generated Target Instrument), $6 7 . 5 \%$ of responses considered the musical pieces to be nearly identical or very similar, while roughly $2 2 . 5 \%$ considered them related and $10 \%$ considered them different. (Details in Table 3.) Thus, it appears that generally the musical piece was indeed preserved. + +(2) Transferring the timbre. Evaluating this is challenging because, if the transfer is not perfect (which it is not), then judging similarity of not-quite-identical instruments is fraught with perceptual challenges. With this in mind, we included a range of pairwise comparisons and gave a likert scale with various anchors. Overall, we found that for the pair (Ground Truth Target audio, TimbreTron Generated audio), roughly $7 1 . 7 \%$ of responses considered the instrument generating the audio to be very similar (e.g. still piano, but a different piano) or similar (e.g. another string instrument). (More details in Table 2.) We also asked participants to identify the instrument that they heard in some of the audio excerpts, with an open-ended question. Generally we found that participants were indeed able to either identify the correct instrument, or confused with a very similar-sounding instrument. For example, one participant described a generated harpsichord as a banjo, which is in fact very close to harpsichord in terms of timbre. As a reference, participants had similar reasonable confusions about identifying ground truth instruments as well (e.g., one participant described a real harpsichord as being a sitar). Based on perceptual evaluations above, we claim that TimbreTron is able to transfer timbre recognizably while preserving the musical content. + +Table 3: AMT results on pair-wise musical piece comparisons between our proposed TimbreTron without beam search, ground truth original instrument and ground truth target instrument. This corresponds to question type (ii) in Table 1. + +
TotalSamplesAnswer ArchitectureNearlyIdenticalVerySimilarRelatedEntirelyDifferentDo notknow
200TargetInstrument&Tim+breTronGeneration29.5%38.0%22.5%10.0%0.0%
100OriginalInstrument&Tim+breTron Generation32.0%21.0%25.0%22.0%0.0%
+ +Table 4: AMT results on timbre quality comparisons between our proposed TimbreTron, TimbreTron but with STFT Wavenet and TimbreTron with STFT Griffin-Lim. Participants are asked: which one of the following two samples sounds more like the instrument provided in the target instrument sample? + +
Total SamplesAnswer Audio SampleCQTsameSTFT
400STFT+WaveNetcounterpart54.5%23.5%22.0%
400STFT+Griffinlimcounterpart55.0%25.2%19.8%
+ +Comparing CQT vs. STFT To empirically test if our proposed TimbreTron with CQT representation is better than its STFT-Wavenet counterpart, or its STFT-GriffinLim counterpart, we conducted a human study using AMT. The original questionnaire can be found here9 In the questionnaire, we asked Turkers to listen to three audio clips: the original audio from instrument A (the “instrument example”), the TimbreTron generated audio of instrument A, and its STFT conterparts, then asked them: “In your opinion, which one of A and B sounds more like the instrument provided in ‘instrument example”’? , where A and B in the questions are the generated samples (presented in random order). Naturally, sounding closer to the “instrument sample” means the timbre quality is better. We conducted two groups of experiment. In the first group, the STFT counterpart is the Wavenet and CycleGAN trained on STFT representation and the result is in first row of the Table 4: most people think the CQT TimbreTron is better. In the second group, we took the same CycleGAN trained on STFT, but instead simply generated the waveform using Griffin-Lim algorithm. The results are in the second row: Even more people think CQT TimbreTron is better. In conclusion, compared to Griffin-Lim as the baseline, training a Wavenet on STFT improved Timbre quality marginally. Furthermore, samples generated by TimbreTron trained on CQT was proven to have significantly better timbre quality. + +# 6.5 ABLATION STUDY FOR TIMBRETRON + +To better understand and justify each modification we made to the original CycleGAN, we conducted an ablation study where we removed one modification at a time for MIDI CQT experiment. (We used MIDI data for ablation because the dataset has paired samples, which provides a convenient ground truth for transfer quality evaluation.) Figure 4 demonstrates the necessity of each modification for the success of TimbreTron. + +# 7 CONCLUSION + +We presented the TimbreTron, a pipeline for perfoming high-quality timbre transfer on musical waveforms using CQT-domain style transfer. We perform the timbre transfer in the time-frequency domain, and then reconstruct the inputs using a WaveNet (circumventing the difficulty of phase recovery from an amplitude CQT). The CQT is particularly well suited to convolutional architectures due to its approximate pitch equivariance. The entire pipeline can be trained on unrelated real-world music segments, and intriguingly, the MIDI-trained CycleGAN demonstrated generalization capability to real-world musical signals. Based on an AMT study, we confirmed that TimbreTron recognizably transferred the timbre while otherwise preserving the musical content, for both monophonic and polyphonic samples. We believe this work constitutes a proof-of-concept for CQT-domain manipulation of musical signals with high-quality waveform outputs. + +![](images/4d9cdac31dffec220d75296140c7bee749082676986a3aa1f54d2fe1fc008b7c.jpg) +Figure 4: Rainbowgrams of the 4-second audio samples for the ablation study on MIDI test dataset. The source ground truth and the target ground truth come from a paired samples in the dataset. All other audio samples are the timbre transfer results from the source ground truth with different versions (full and ablated) of our TimbreTron. “Full Model” corresponds to the output of our final TimbreTron, which is perceptually closest to target ground truth and have the best audio quality. “Original discriminator” or “Original generator” corresponds to the TimbreTron pipeline with the discriminator or generator replaced by the original discriminator or generator in the original CycleGAN. “No gradient penalty”, “No identity loss”, and “No data augmentation” refer to the full model without the corresponding modifications. “Baseline” is the original CycleGAN (Zhu et al., 2017) + +# ACKNOWLEDGMENTS + +We thank Doug Eck, Jesse Engel, Phillip Isola, Eleni Triantafillou and Sanja Fidler for helpful discussions. We also thank Aidan Gomez and For.ai for early codebase development and coding advice. + +# REFERENCES + +Jont B Allen and Lawrence R Rabiner. 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DualGAN: Unsupervised dual learning for image-to-image translation. arXiv preprint arXiv:1704.02510, 2017. + +Jun-Yan Zhu, Taesung Park, Phillip Isola, and Alexei A. Efros. Unpaired image-to-image translation using cycle-consistent adversarial networks. CoRR, abs/1703.10593, 2017. URL http:// arxiv.org/abs/1703.10593. + +# A COMPONENTS OF A MUSICAL TONE + +In this section, we will briefly describe the main components of a musical tone: pitch, loudness and timbre (Roederer, 2008). + +Pitch is described subjectively as the “height” of a musical tone, and is closely tied to the fundamental mode of oscillation of the instrument that is producing the tone. This oscillation mode is often called the fundamental frequency, and can often be observed as the lowest band in spectrogram visualizations (Figure 3). + +Loudness is linked to the perception of sound pressure, and is often subjectively described as the “intensity” of the tone. It roughly correlates with the amplitude of the waveform of the perceived tone, and has a weak dependence to pitch (Hass, 2018). + +Timbre is the perceptual quality of a musical tone that enables us to distinguish between different instruments and sound sources with the same pitch and loudness (Roederer, 2008). The physical characteristics that define the timbre of a tone are its energy spectrum (the magnitude of the corresponding spectrogram) and its envelope. + +Since sounds generated by physical instruments mostly rely on oscillations of physical material, the energy spectra of instruments consist of bands, which correspond to (approximately) the integer multiples of the fundamental frequency. These multiples are called harmonics, or overtones, and can be observed in Figure 3. The timbre of an instrument is tightly related to the relative strengths of the harmonics. The spectral signature of an instrument not only depends on the pitch of the tone played, but also changes over time. To see this clearly, consider that a single piano note of duration 500 milliseconds is played in reverse - the resultant sound will not be recognizable as a piano, although it will have the same spectral energy. The envelope of a tone corresponds to how the instantaneous amplitude changes over time, and is mainly affected by the instrument’s attack time (the transient “noise” created by the instrument when it is first played), decay/sustain (how the amplitude decreases over time, or can be sustained by the player of the instrument) and release (the very end of the tone, following the time the player “releases” the note). All these factors add to the complexity and richness of an instrument’s sound, while also making it difficult to model it explicitly. + +# B SPECTROGRAM PROCESSING DETAILS + +Waveform to CQT Spectrogram Using constant-Q transform as described in Section 2.1, CQT spectrogram can be easily computed from time-domain waveforms. In this work, we use a 16 ms frame hop (256 time steps under $1 6 \mathrm { k H z }$ ), $\omega _ { 0 } = 3 2 . 7 0 \ \mathrm { H z }$ (the frequency of $\mathrm { C 1 ~ } ^ { 1 0 }$ ), $b = 4 8$ , $k _ { m a x } = 3 3 6$ for the CQT transform. Standard implementations of CQT (e.g., librosa (librosa)) also allow scaling the Q values by a constant $\gamma > 0$ to have finer control over time resolution - choosing $\gamma \in ( 0 , 1 )$ results in increased time resolution. In our experiments, we choose $\gamma = 0 . 8$ . After the transformation, we take the log magnitude of the CQT spectrogram as the spectrogram representation. + +Waveform to STFT Spectrogram All the STFT spectrograms are generated using STFT with $k _ { m a x } = 3 3 7$ . The window function is picked to be Hann Window with a window length of 672. A $1 6 \mathrm { m s }$ frame hop is also used (256 time steps under 16kHz). Similar to CQT spectrogram, we also take the log magnitude of the STFT spectrogram as the spectrogram representation after the STFT. + +# C DETAILED EXPERIMENTAL SETTINGS + +# C.1 DATASETS + +MIDI Dataset Our MIDI dataset consists of two parts: MIDI-BACH 11 and MIDI-Chopin 12. MIDI-BACH dataset is synthesized from a collection of bach MIDI files which have a total duration of around 10 hours 13. Each dataset contains 6 instruments: acoustic grand, violin, electric guitar, flute, and harpsichord. We generated the audio with the same melody but different timbre, which makes it possible to obtain paired data during evaluation. + +Real World Dataset Our Real World Dataset comprises of data collected from YouTube videos of people performing solo on different instruments including piano, harpsichord, violin and flute. Each instrument contains around 3 to 10 hours of recording. Here is a complete list of YouTube links from which we collected our Real World Dataset. Note that we’ve also randomly taken out some segments for the validation set. + +• Piano https://www.youtube.com/watch?v $=$ cOrKeFUZSJ0 https://www.youtube.com/watch?v=GujB0ahKFrY https://www.youtube.com/watch?v $=$ 0sDleZkIK-w&t=629s +• Harpsichord https://www.youtube.com/watch?v $=$ oeY4a4C-Xuk&t $=$ 1555s https://www.youtube.com/watch?v $=$ Seu9ju7g9u8 +• Violin https://www.youtube.com/watch?v $=$ wtbIT8ALNEA&t $= .$ 21s https://www.youtube.com/watch?v $=$ XkZvyA69wCo +• Flute https://www.youtube.com/watch?v $=$ 6GwfuWhOOdY https://www.youtube.com/watch?v $=$ s6CUi8Gthzc https://www.youtube.com/watch?v $=$ uE9SjAqPGsc&t $=$ 1001s + +# C.2 DOMAIN SPECIFIC GLOBAL NORMALIZATION + +As is shown in Figure 5 in Appendix C.7, the distribution of spectrogram pixel magnitude is roughly centered at -2, which is not good for learning because of the tanh activation function works better when the activation is in the range of $[ - 1 , 1 ]$ . Thus, we globally normalized the spectrogram data to be mostly in the range of $[ - 1 , 1 ]$ for each instrument domain. We scaled and shifted the spectrograms based on the mean and standard deviation of each instrument domain to achieve Domain Specific Global Normalization in the input pipeline, and reverse this operation on the output of CycleGAN to minimize possible distribution shift before feeding the output for wavenet generation. + +# C.3 CYCLEGAN TRAINING DETAILS + +In CycleGAN training, because we made several architectural changes, we retuned the hyperparameters. The weighting for our cycle consistency loss is 10 and the weighting of the identity loss is 5. In the original CycleGAN the weighting of identity loss is constant throughout training but in our experiment, it stays constant for the first 100000 steps, then it starts linearly decay to 0. We set the weighing for Gradient Penalty to be 10, as was suggested in Gulrajani et al. (2017). Our learning rate is exponentially warmed up to 0.0001 over 2500 steps, stays constant, then at step 100000 starts to linearly decay to zero. The total training step is 1.5 million steps, trained with Adam optimizer (Kingma and Ba, 2014) with $\beta _ { 1 } = 0$ and $\beta _ { 2 } = 0 . 9$ , with a batch size of 1. + +# C.4 CONDITIONAL WAVENET TRAINING + +For the conditional wavenet , we used kernel size of 3 for all the dilated convolution layers and the initial causal convolution. The residual connections and the skip connections all have width of 256 for all the residual blocks. The initial causal convolution maps from a channel size of 1 to 256. The dilated convolutions map from a channel size of 256 to 512 before going through the gated activation unit. The conditional wavenet is trained with a learning rate of 0.0001 using Adam optimizer (Kingma and Ba, 2014), batch size of 4, sample length of 8196 $\approx 0 . 5 s$ for audio with $1 6 0 0 0 \mathrm { H z }$ sampling rate). To improve the generation quality we maintain an exponential moving average of the weights of the network with a decaying factor of 0.999. The averaged weights are then used to perform the autoregressive generation. To make the model more robust, we augmented the training dataset by randomly rescaling the original waveform based on its peak value based on a uniform distribution uniform(0.1, 1.0). In addition, we also added a constant shift to the spectrogram before feeding it into the WaveNet as the local conditioning signal; this shift of $+ 2$ was chosen to achieve a mean of approximately zero. + +# C.5 BEAM SEARCH + +During autoregressive generation, we perform a modified beam search where the global objective is to minimize the discrepancy between the target CQT spectrogram and the CQT spectrogram of the synthesized audio waveform. Our beam search alternates between two steps: 1) run the autoregressive WaveNet on each existing candidate waveforms for $n$ steps $n = 2 0 4 8 )$ ) to extend the candidate waveforms, 2) prune the waveforms that have large squared error between the waveforms’ CQT spectrogram and the target CQT spectrogram (beam search heuristic). We maintain a constant number of candidates (beam width $= 8$ ) by replicating the remaining candidate waveforms after each pruning process. To make sure the local beam search heuristic is approximately aligned with the global objective, we take $n$ extra prediction steps forward and use the extra $n$ samples along with the candidate waveforms to obtain a better prediction of the spectrogram for the candidate waveforms. The algorithm is provided in details as follows given the target spectrogram $C _ { t a r g e t }$ : + +1. $k 0$ +2. Perform $2 n$ autoregressive synthesis step on WaveNet on $\{ x _ { 1 } , \cdots , x _ { k } \}$ with $m$ parallel probes $\mathbf { \chi } _ { m }$ is the beam width) to produce $m$ subsequent waveforms: $\bar { \{ x _ { k + 1 } ^ { ( 1 ) } , \cdot \cdot \cdot , x _ { k + 2 n } ^ { ( 1 ) } \} } , \{ x _ { k + 1 } ^ { ( 2 ) } , \cdot \cdot \cdot , x _ { k + 2 n } ^ { ( 2 ) } \} , \cdot \cdot \cdot , \{ x _ { k + 1 } ^ { ( \hat { m } ) } , \cdot \cdot \cdot , x _ { k + 2 n } ^ { ( m ) } \}$ +3. Compute the CQT spectrogram 0 $C _ { i }$ of 0 $\{ x _ { k + 1 } ^ { ( i ) } , \cdot \cdot \cdot , x _ { k + 2 n } ^ { ( i ) } \}$ for each $i \in \{ 1 , 2 , \cdots , m \}$ , and find the waveform $\{ x _ { k + 1 } ^ { ( i ^ { \prime } ) } , \cdot \cdot \cdot , x _ { k + 2 n } ^ { ( i ^ { \prime } ) } \}$ with the lowest square difference between $C _ { i }$ and the target CQT spectrogram $C _ { t }$ arget +4. Update the waveform $x _ { j } = x _ { j } ^ { i ^ { \prime } } , \forall j \in \{ k + 1 , k + 2 , \cdots , k + n \}$ +5. $k \gets k + n$ + +# C.6 ONE-SHOT GENERATION OF LONGER SEGMENTS + +In our earlier attempts, we tried generating 4 seconds segments and then merge them back. However, this resulted in volume inconsistencies between the 4 second generations. We suspect the CycleGAN learned a random volume permutation, because essentially there’s no explicit gradient signal against it from the discriminator, after we enabled volume augmentation during train time. To resolve this issue, we removed the size constraint in our generator during test time so that it can generate based on input of arbitrary length. At test time, the dataset is no longer 4 second chunks, instead, we preserved the original length of the musical piece(except when the piece is too long we cut it down to 2 minutes due to GPU memory constraint). During test time generation, the entire piece is fed into the CycleGAN generator in one shot. + +# C.7 SPECTROGRAM RAW PIXEL INTENSITY HISTOGRAM + +Figure 5 shows that the rough distribution of spectrograms are centered at $^ { - 2 }$ . As is discussed in Section 3.1, we globally normalized our input data based oh the distribution of spectrograms for each domain of instruments. + +![](images/baf5cae67422b2418efbf16466cad51c13df39e45c1778ff1515c43061fb772e.jpg) +Figure 5: Spectrogram raw pixel intensity histogram \ No newline at end of file diff --git a/parse/train/S1lvm305YQ/S1lvm305YQ_content_list.json b/parse/train/S1lvm305YQ/S1lvm305YQ_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..6ef91995f653526b2990e8d7da325fd1ec1b3c23 --- /dev/null +++ b/parse/train/S1lvm305YQ/S1lvm305YQ_content_list.json @@ -0,0 +1,1817 @@ +[ + { + "type": "text", + "text": "TIMBRETRON: A WAVENET(CYCLEGAN(CQT(AUDIO))) PIPELINE FOR MUSICAL TIMBRE TRANSFER ", + "text_level": 1, + "bbox": [ + 174, + 98, + 867, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Sicong Huang1,2, Qiyang $\\mathbf { L i } ^ { 1 , 2 }$ , $\\mathbf { C e m \\mathbf { A n i l } ^ { 1 , 2 } }$ , Xuchan $\\mathbf { B a o } ^ { 1 , 2 }$ , Sageev Oore2,3, Roger B. Grosse1, University of Toronto1, Vector Institute2, Dalhousie University3 ", + "bbox": [ + 184, + 167, + 844, + 199 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work, we address the problem of musical timbre transfer, where the goal is to manipulate the timbre of a sound sample from one instrument to match another instrument while preserving other musical content, such as pitch, rhythm, and loudness. In principle, one could apply image-based style transfer techniques to a time-frequency representation of an audio signal, but this depends on having a representation that allows independent manipulation of timbre as well as highquality waveform generation. We introduce TimbreTron, a method for musical timbre transfer which applies “image” domain style transfer to a time-frequency representation of the audio signal, and then produces a high-quality waveform using a conditional WaveNet synthesizer. We show that the Constant Q Transform (CQT) representation is particularly well-suited to convolutional architectures due to its approximate pitch equivariance. Based on human perceptual evaluations, we confirmed that TimbreTron recognizably transferred the timbre while otherwise preserving the musical content, for both monophonic and polyphonic samples. We made an accompanying demo video 1 which we strongly encourage you to watch before reading the paper. ", + "bbox": [ + 233, + 267, + 766, + 489 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 515, + 336, + 531 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Timbre is a perceptual characteristic that distinguishes one musical instrument from another playing the same note with the same intensity and duration. Modeling timbre is very hard, and it has been referred to as “the psychoacoustician’s multidimensional waste-basket category for everything that cannot be labeled pitch or loudness”2. The timbre of a single note at a single pitch has a nonlinear dependence on the volume, time and even the particular way the instrument is played by the performer. While there is a substantial body of research in timbre modelling and synthesis (Chowning (1973); Risset and Wessel (1999); Smith (2010; 2011)), state-of-the-art musical sound libraries used by orchestral composers for analog instruments (e.g. the Vienna Symphonic Library (GmbH, 2018)) are still obtained by extremely careful audio sampling of real instrument recordings. Being able to model and manipulate timbre electronically carries importance for musicians who wish to experiment with different sounds, or compose for multiple instruments. (Appendix A discusses the components of music in more detail.) ", + "bbox": [ + 174, + 547, + 825, + 713 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this paper, we consider the problem of high quality timbre transfer between audio clips obtained with different instruments. More specifically, the goal is to transform the timbre of a musical recording to match a set of reference recordings while preserving other musical content, such as pitch and loudness. We take inspiration from recent successes in style transfer for images using neural networks (Gatys et al., 2015; Johnson et al., 2016; Ulyanov et al., 2016; Chu et al., 2017). An appealing strategy would be to directly apply image-based style transfer techniques to time-frequency representations of images, such as short-time Fourier transform (STFT) spectrograms. However, needing to convert the generated spectrogram into a waveform presents a fundamental obstacle, since accurate reconstruction requires phase information, which is difficult to predict (Engel et al., 2017), and existing techniques for inferring phase (e.g., Griffin and Lim (1984)) can produce characteristic artifacts which are undesirable for high quality audio generation (Shen et al., 2017). ", + "bbox": [ + 174, + 720, + 825, + 875 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recent years have seen rapid progress on audio generation methods that directly generate high-quality waveforms, such as WaveNet (van den Oord et al., 2016), SampleRNN (Mehri et al., 2016), and Tacotron2 (Shen et al., 2017). WaveNet’s ability to condition on abstract audio representations is particularly relevant, since it enables one to perform manipulations in high-level auditory representations from which reconstruction would have previously been impractical. Tacotron2 performs high-level processing on time-frequency representations of speech, and then uses WaveNet to output high-quality audio conditioned on the generated mel spectrogram. ", + "bbox": [ + 173, + 103, + 825, + 202 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We adapt this general strategy to the music domain. We propose TimbreTron, a pipeline that performs CQT-based timbre transfer with high-quality waveform output. It is trained only on unrelated samples of two instruments. For our time-frequency representation, we choose the constant Q transform (CQT), a perceptually motivated representation of music (Brown, 1991). We show that this representation is particularly well-suited to musical timbre transfer and other manipulations due to its pitch equivariance and the way it simultaneously achieves high frequency resolution at low frequencies and high temporal resolution at high frequencies, a property that STFT lacks. ", + "bbox": [ + 173, + 208, + 825, + 306 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "TimbreTron performs timbre transfer by three steps, shown in Figure 1. First, it computes the CQT spectrogram and treats its log-magnitude values as an image (discarding phase information). Second, it performs timbre transfer in the log-CQT domain using a CycleGAN (Zhu et al., 2017). Finally, it converts the generated log-CQT to a waveform using a conditional WaveNet synthesizer (which implicitly must infer the missing phase information). Empirically, our TimbreTron can successfully perform musical timbre transfer on some instrument pairs. The generated audio samples have realistic timbre that matches the target timbre while otherwise expressing the same musical content (e.g., rhythm, loudness, pitch). We empirically verified that the use of a CQT representation is a crucial component in TimbreTron as it consistently yields qualitatively better timbre transfer than its STFT counterpart. ", + "bbox": [ + 173, + 311, + 825, + 452 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/b1f409115a04244b694817878bd6141c021e063d063f1f26e0d9c9e55d01559e.jpg", + "image_caption": [ + "Figure 1: The TimbreTron pipeline that performs timbre transfer from Violin to Flute. " + ], + "image_footnote": [], + "bbox": [ + 261, + 468, + 733, + 574 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 BACKGROUND ", + "text_level": 1, + "bbox": [ + 176, + 640, + 326, + 656 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 TIME-FREQUENCY ANALYSIS ", + "text_level": 1, + "bbox": [ + 176, + 671, + 421, + 686 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Time-frequency analysis refers to techniques that aim to measure how the signal’s frequency domain representation changes over time. ", + "bbox": [ + 176, + 698, + 823, + 727 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Short Time Fourier Transform (STFT) The STFT is one of the most commonly applied techniques for this purpose. The discrete STFT operation can be compactly expressed as follows: ", + "bbox": [ + 173, + 733, + 821, + 762 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/dd96c0afbefe1b997c59d30b2df1db24e4e23ffa173c45adee3f5f942c80006f.jpg", + "text": "$$\nS T F T \\{ x [ n ] \\} ( m , \\omega _ { k } ) = \\sum _ { n = - \\infty } ^ { \\infty } x [ n ] w [ n - m ] e ^ { - j \\omega _ { k } n }\n$$", + "text_format": "latex", + "bbox": [ + 321, + 768, + 676, + 810 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The above formula computes the STFT of an input time-domain signal $x [ n ]$ at time step $m$ and frequency $\\omega _ { k }$ . $w$ refers to a zero-centered window function (such as Hann Window), which acts as a means of masking out the values that are away from $m$ . Hence, the equation above can be interpreted as the discrete Fourier transform of the masked signal $x [ n ] w [ n - m ]$ . An example spectrogram is shown in Figure 2. ", + "bbox": [ + 174, + 818, + 825, + 888 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Constant Q Transform (CQT). The CQT (Brown, 1991) is another time-frequency analysis technique in which the frequency values are geometrically spaced, with the following particular pattern (Blankertz): $\\omega _ { k } = 2 ^ { \\frac { k } { b } } \\omega _ { 0 }$ . Here, $k \\in \\{ 1 , 2 , 3 , . . . k _ { m a x } \\}$ and $b$ is a constant that determines the geometric separation between the different frequency bands. To make the filter for different frequencies adjacent to each other, the bandwidth of the $k ^ { t h }$ filter is chosen as: $\\Delta _ { k } = \\omega _ { k + 1 } - \\omega _ { k } = \\omega _ { k } ( \\bar { 2 } ^ { \\frac { 1 } { b } } - 1 )$ . This results in a constant frequency to resolution ratio (as known as the “quality (Q) factor”): ", + "bbox": [ + 174, + 895, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 102, + 826, + 161 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/de75b77444d1cb9df9e4c43890831d517f1634117d48305676474206e7c4530c.jpg", + "text": "$$\nQ = \\frac { \\omega _ { k } } { \\Delta _ { k } } = ( 2 ^ { \\frac { 1 } { b } } - 1 ) ^ { - 1 }\n$$", + "text_format": "latex", + "bbox": [ + 416, + 167, + 580, + 198 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Huzaifah (2017) showed that CQT consistently outperformed traditional representations such as Mel-frequency cepstral coefficients (MFCCs) in environmental sound classification tasks using CNNs. ", + "bbox": [ + 173, + 204, + 825, + 246 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Rainbowgram. Engel et al. (2017) introduced the rainbowgram, a visualization of the CQT which uses color to encode time derivatives of phase; this highlights subtle timbral features which are invisible in a magnitude CQT. Examples of CQTs and rainbowgrams are shown in Figure 2. ", + "bbox": [ + 173, + 252, + 826, + 296 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/a57fed0d78aca8db561770bf227181c481148ab08f6c4d404ef43aa4071cf60d.jpg", + "image_caption": [ + "Figure 2: The STFT of a piano clip (left), the CQT of the same piano clip (second left), the rainbowgram of the same piano clip (second right) and the rainbowgram of a flute clip which has the same pitch as the first piano clip (right). Note that the harmonics of different pitches are approximate translations of each other in the CQT representation. " + ], + "image_footnote": [], + "bbox": [ + 240, + 309, + 754, + 411 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 WAVEFORM RECONSTRUCTION FROM SPECTROGRAMS ", + "text_level": 1, + "bbox": [ + 181, + 503, + 589, + 518 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Synthesis (waveform reconstruction) from the aforementioned time-frequency analysis techniques can be performed in the presence of both magnitude and phase information (Allen and Rabiner, 1977) (Holighaus et al., 2013). In the absence of phase information, one of the common methods of synthetically generating phase from STFT magnitude is the Griffin-Lim algorithm (Griffin and Lim, 1984). This algorithm works by randomly guessing the phase values, and iteratively refining them by performing STFT and inverse STFT operations until convergence, while keeping the magnitude values constant throughout the process. Developed to minimize the mean squared error between the target spectrogram and predicted spectrogram, this algorithm is shown to reduce the objective function at each iteration, while having no optimality guarantees due to the non-convexity of the optimization problem (Griffin and Lim, 1984; Sturmel and Daudet) Although recent developments in the field have enabled performing the inverse operation of CQT (Velasco et al., 2011; Fitzgerald et al., 2006), these techniques still require both phase and magnitude information. ", + "bbox": [ + 174, + 530, + 825, + 696 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.3 WAVENET ", + "text_level": 1, + "bbox": [ + 174, + 714, + 287, + 728 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "WaveNet, proposed by van den Oord et al. (2016), is an auto-regressive generative model for generating raw audio waveform with high quality. The model consists of stacks of dilated causal convolution layers with residual and skip connections. WaveNet can be easily modified to perform conditional waveform generation; for example, it can be trained as a vocoder for synthesizing natural, high-quality human speech in TTS systems from low-level acoustic features (e.g., phoneme, fundamental frequency, and spectrogram) (Arik et al., 2017; Shen et al., 2017). One limitation of WaveNet is that the generation of waveforms can be expensive, which is undesirable for training procedures that require auto-regressive generation (e.g., GAN training, scheduled sampling). ", + "bbox": [ + 174, + 739, + 825, + 852 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.4 GAN AND CYCLEGAN ", + "text_level": 1, + "bbox": [ + 176, + 869, + 379, + 883 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Generative Adversarial Networks (GANs) are a class of implicit generative models introduced by Goodfellow et al. (2014). A GAN consists of a discriminator and a generator, which are trained ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "adversarially via a two-player min-max game, where the discriminator attempts to distinguish real data from samples, and the generator attempts to fool the discriminator. The objective is: ", + "bbox": [ + 169, + 103, + 823, + 132 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/73562af20c5395070a563fbb1b5c00b015626f906f446a46d6eff3e271de2a9c.jpg", + "text": "$$\nG ^ { * } , D ^ { * } = \\underset { G } { \\mathrm { a r g } } \\underset { D } { \\mathrm { m i n } } \\underset { - } { \\mathrm { m a x } } \\mathbb { E } _ { x \\sim \\mathcal { X } } [ \\log D ( x ) ] + \\mathbb { E } _ { z \\sim \\mathcal { Z } } [ \\log ( 1 - D ( G ( z ) ) ) ] ,\n$$", + "text_format": "latex", + "bbox": [ + 266, + 142, + 730, + 165 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $D$ is the discriminator, $G$ is the generator, $z$ is the latent code vector sampled from Gaussian distribution $\\mathcal { Z }$ , and $x$ is sampled from data distribution $\\mathcal { X }$ . GANs constituted a significant advance over previous generative models in terms of the quality of the generated samples. ", + "bbox": [ + 174, + 174, + 825, + 217 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "CycleGAN (Zhu et al., 2017) is an architecture for unsupervised domain transfer: learning a mapping between two domains without any paired data. (Similar architectures were proposed independently by Yi et al. (2017); Liu et al. (2017); Kim et al. (2017).) The CycleGAN learns two generator mappings: $F : \\mathcal { X } \\mathcal { Y }$ and $G : \\mathcal { y } \\mathcal { x }$ ; and two discriminators: $D _ { \\mathcal { X } } : \\mathcal { X } [ 0 , 1 ]$ and $D y : \\mathcal { Y } [ 0 , 1 ]$ . The loss function of CycleGAN consists of both adversarial losses (Eqn. 1), combined with a cycle consistency constraint which forces it to preserve the structure of the input: ", + "bbox": [ + 173, + 223, + 825, + 309 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/0b3de429d2f94633aaffe960365e05c58edb90d552a707b2b674480e8e0c37d1.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { c y c } } ( F , G , \\mathcal { X } , \\mathcal { Y } ) = \\mathbb { E } _ { x \\sim \\mathcal { X } } [ \\| G ( F ( x ) ) - x \\| _ { 1 } ] + \\mathbb { E } _ { y \\sim \\mathcal { Y } } [ \\| F ( G ( y ) ) - y \\| _ { 1 } ]\n$$", + "text_format": "latex", + "bbox": [ + 250, + 318, + 732, + 335 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 MUSIC PROCESSING WITH CONSTANT-Q-TRANSFORM REPRESENTATION ", + "text_level": 1, + "bbox": [ + 173, + 357, + 810, + 375 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "This section focuses on the first and last steps of the TimbreTron pipeline: the steps related to the transforming raw waveforms to and from time frequency representations. We explain our reasoning for choosing the CQT representation and introduce our conditional WaveNet synthesizer which converts a (possibly generated) CQT to a high-quality audio waveform. ", + "bbox": [ + 174, + 392, + 825, + 449 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 CQT FOR MUSIC REPRESENTATION ", + "text_level": 1, + "bbox": [ + 176, + 469, + 462, + 483 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The CQT representation (Brown, 1991) has desirable characteristics that make it especially suitable for processing musical audio signals. It uses a logarithmic representation of frequency, where the frequencies are generally chosen to exactly cover all the pitches present in the twelve tone, welltempered scale. Unlike the STFT, the CQT has higher frequency resolution towards lower frequencies, which leads to better pitch resolution for lower register instruments (such as cello or trombone), and higher time resolution towards higher frequencies, which is advantageous for recovering the fine timing of rhythms. Since individual notes contain information across many frequencies (due to their pattern of overtones), this combination of resolutions ought to allow simultaneous recovery of pitch and timing information for any particular note. (While this information is preserved in the signal, waveform recovery is a difficult problem in practice; this is discussed in Section 3.2). ", + "bbox": [ + 174, + 496, + 825, + 636 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Another key feature of the CQT representation in the context of TimbreTron is (approximate) pitch equivariance. Thanks to the geometric spacing of frequencies, a pitch shift corresponds (approximately) to a vertical translation of the “spectral signature” (unique pattern of harmonics) of musical instruments. This means that the convolution operation is approximately equivariant under pitch translation, which allows convolutional architectures to share structure between different pitches. A demonstration of this can be seen in Figure 3. Since the harmonics of a musical instrument are approximately integer multiples of the fundamental frequency, scaling the fundamental frequency (hence the pitch) corresponds to a constant shift in all of the harmonics in log scale. ", + "bbox": [ + 174, + 642, + 825, + 755 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We also want to emphasize on some of the reasons why the equivariance is only approximate: ", + "bbox": [ + 174, + 761, + 785, + 776 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "• Imperfect multiples: In real audio samples from instruments, the harmonics are only approximately integer multiples of the fundamental frequency, due to the material properties of the instruments producing the sound. Dependence of spectral signature on pitch and beyond: For each pitch, each instrument has a slightly different spectral signature, meaning that a simple translation in the frequency axis cannot completely account for the changes in the frequency spectrum. Furthermore, even at a given pitch it can still change depending on how it’s played. ", + "bbox": [ + 215, + 789, + 825, + 896 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We used 16ms frame hop (256 time steps under 16kHz). More details can be found in Appendix B. ", + "bbox": [ + 174, + 909, + 820, + 924 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/e442b9be8a1678a84bb23998a313c9a0c0c16bbf0976d414ba21b7f0dc9970a9.jpg", + "image_caption": [ + "Figure 3: The rainbowgram of a C major scale played by piano. " + ], + "image_footnote": [], + "bbox": [ + 176, + 102, + 821, + 208 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 WAVEFORM RECONSTRUCTION FROM CQT REPRESENTATION USING CONDITIONAL WAVENET ", + "bbox": [ + 174, + 257, + 795, + 285 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Since empirical studies have shown it is difficult to directly predict phase in time-frequency representations (Engel et al., 2017), we discard the phase information and perform the image-based processing directly on a log-amplitude CQT representation. Therefore, in order to recover a waveform consistent with the generated CQT, we need to infer the missing phase information, which is a difficult problem (Velasco et al., 2011). ", + "bbox": [ + 174, + 297, + 825, + 367 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To convert log magnitude CQT spectrograms back to waveforms, we use a 40-layer conditional WaveNet with the dilation rate of $2 ^ { k }$ (mod 10) for the $k ^ { \\mathrm { { t h } } }$ layer. The model is trained using pairs of a CQT and a waveform; this requires only a collection of unlabeled waveforms, since the CQT can be computed from the waveform.3 See Appendix C.4 for the details of the WaveNet architecture. WaveNet reconstructed audio samples can be found here4 ", + "bbox": [ + 173, + 375, + 825, + 445 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Beam Search Because the conditional WaveNet generates stochastically from its predictive distribution, it sometimes produces low-probability outputs, such as hallucinated notes. Also, because it has difficulty modeling the local loudness, the loudness often drifts significantly over the timescale of seconds. While these issues could potentially be addressed by improving the WaveNet architecture or training method, we instead take the perspective that the WaveNet’s role is to produce a waveform which matches the target CQT. Since the above artifacts are macro-scale errors which happen only stochastically, the WaveNet has a significant probability of producing high-quality outputs over a short segment (e.g. hundreds of milliseconds). Therefore, we perform a beam search using the WaveNet’s generations in order to better match the target CQT. See Appendix C.5 for more details about our beam search procedure. ", + "bbox": [ + 173, + 460, + 825, + 599 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Reverse Generation In early experiments, we observed that percussive attacks (onset characteristics of an instrument in which it reaches a large amplitude quickly) are sometimes hard to model during forward generation, resulting in multiple attacks or missing attacks. We believe this problem occurs because it is difficult to determine the onset of a note from a CQT spectrogram (in which information is blurred in frequency), and it is difficult to predict precise pitch at the note onset due to the broad frequency spectrum at that moment. We found that the problems of missing and doubled attacks could be mostly solved by having the WaveNet generate the waveform samples in reverse order, from end to beginning. ", + "bbox": [ + 174, + 616, + 825, + 728 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 TIMBRE TRANSFER WITH CYCLEGAN ON CQT REPRESENTATION ", + "text_level": 1, + "bbox": [ + 173, + 747, + 756, + 763 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this section, we describe the middle step of our TimbreTron pipeline, which performs timbre transfer on log-amplitude CQT representations of the waveforms. As training data, we have collections of unrelated recordings of different musical instruments. Hence, our timbre transfer problem on log-amplitude CQT “images” is an instance of unsupervised “image-to-image” translation. To achieve this, we applied the CycleGAN architecture, but adapted it in several ways to make it more effective for time-frequency representations of audio. ", + "bbox": [ + 174, + 779, + 823, + 835 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Removing Checkerboard Artifacts The convnet-resnet-deconvnet based generators from the original CycleGAN led to significant checkerboard artifacts in the generated CQT, which corresponds to severe noise in the generated waveform. To alleviate this problem, we replaced the deconvolution operation with nearest neighbor interpolation followed with regular convolution, as recommended by Odena et al. (2016). ", + "bbox": [ + 174, + 148, + 825, + 218 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Full-Spectrogram Discriminator Due to the local nature of the original CycleGAN’s transformations, Zhu et al. (2017) found it advantageous for the discriminator only to process a local patch of the image. However, when generating spectrograms, it’s crucial that different partials of the same pitch be consistent with each other; a discriminator which is local in frequency cannot enforce this. Therefore, we gave the discriminator the full spectrogram as input. ", + "bbox": [ + 174, + 234, + 825, + 305 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Gradient Penalty(GP) Replacing the patch discriminator with the full-spectrogram one led to unstable training dynamics because the discriminator was too powerful. To compensate for this, we added the Gradient Penalty(GP) (Gulrajani et al., 2017) to enforce a soft Lipschitz constraint: ", + "bbox": [ + 174, + 320, + 825, + 363 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/26e1473a6fb95c6c5b9dddb56a25a26f03182405a73147d1976579d5068a1309.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { G P } } ( G , D , \\mathcal { Z } , \\hat { \\mathcal { X } } ) = \\alpha \\cdot \\mathbb { E } _ { \\hat { x } \\sim \\hat { x } } [ ( \\| \\nabla _ { \\hat { x } } D ( \\hat { x } ) \\| _ { 2 } - 1 ) ^ { 2 } ]\n$$", + "text_format": "latex", + "bbox": [ + 326, + 371, + 669, + 392 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Here $\\hat { \\mathcal X }$ are samples taken along a line between the true data distribution $\\mathcal { X }$ and the generator’s data distribution $\\mathcal { X } _ { g } = \\{ F ( z ) | z \\sim \\mathcal { Z } \\}$ via convex combination of a real data point and a generated data point. Fedus et al. (2018) showed empirically that the GP can stabilize GAN training. Furthermore, Gomez et al. (2018) showed that GP can also stabilize and improve CycleGAN training with word embeddings. We observed the same benefits in our experiments. ", + "bbox": [ + 173, + 401, + 825, + 472 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Identity loss In addition to the adversarial loss and the reconstruction loss that we applied to the generators, we also added identity loss, which was proposed by Zhu et al. (2017) to preserve color composition in the original CycleGAN. Empirically, we found out that the identity loss component helps generators to preserve music content, which yields better audio quality empirically. ", + "bbox": [ + 174, + 488, + 825, + 545 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/650c98590ee92220698cc8c588386fb04e4e3329c9d34666a908dac28eca9b96.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { i d e n t i t y } } ( F , G , \\mathcal { X } , \\mathcal { Y } ) = \\mathbb { E } _ { x \\sim \\mathcal { X } } [ \\| F ( x ) - y \\| _ { 1 } ] + \\mathbb { E } _ { y \\sim \\mathcal { Y } } [ \\| G ( y ) - x \\| _ { 1 } ]\n$$", + "text_format": "latex", + "bbox": [ + 266, + 551, + 714, + 569 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Our weighting of the identity loss followed a linear decay schedule (details in Appendix C.3). In this way, at the start of training, the generator is encouraged to learn a mapping that preserves pitch; as training progresses, the enforcement is reduced, allowing the generator to learn more expressive mappings. ", + "bbox": [ + 173, + 575, + 825, + 633 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "See Appendix C.2, C.3, and C.6 for more details of our CycleGAN architecture, and training and generation methods. ", + "bbox": [ + 173, + 640, + 823, + 667 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 689, + 344, + 705 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "There is a long history of using clever representations of images or audio signals in order to perform manipulations which are not straightforward on the raw signals. In a seminal work, Tenenbaum and Freeman (1999) used a multilinear representation to separate style and content of images. Ulyanov and Lebedev (2016) and Verma and Smith (2018) then applied the optimization technique proposed by Gatys et al. (2015) to the audio domain by applying the image-based architectures to spectrogram representations of the signals. Grinstein et al. (2017) took a similar approach, but used hand-crafted features to extract statistics from the spectrograms. However, a recent review by Dai et al. (2018) pointed out that the disentanglement of timbre and performance control information remains unsolved. ", + "bbox": [ + 174, + 720, + 825, + 833 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Zhu et al. (2017) introduced Cycle GAN approach to learn an “unsupervised image-to-image mapping” between two unpaired datasets using two generator networks and two discriminator networks with generative adversarial training. Given the success of the CycleGAN on image domain style transfer, Kaneko and Kameoka (2017) applied the same architecture to translate between human voices in the Mel-cepstral coefficient (MCEP) domain and Brunner et al. (2018) applied it to musical style transfer with MIDI representations. ", + "bbox": [ + 174, + 839, + 826, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "What the aforementioned audio style transfer approaches have in common is that the reconstruction quality is limited by the existing non-parametric algorithms for audio reconstruction (e.g., the GriffinLim algorithm for STFT domain reconstruction (Griffin and Lim, 1984), or the WORLD vocoder for MCEP domain reconstruction of speech signals (Morise et al., 2016)), or existing MIDI synthesizer. ", + "bbox": [ + 174, + 103, + 825, + 159 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Another strategy is to operate directly on waveforms. van den Oord et al. (2016) demonstrated high-quality audio generation using WaveNet. Following on this, Engel et al. (2017) proposed a WaveNet-style autoencoder model operating on raw waveforms that was capable of creating new, realistic timbres by interpolating between already existing ones. Donahue et al. (2018) proposed a method to synthesize waveforms directly using GANs with improved quality over naive generative models such as SampleRNN (Mehri et al., 2016) and WaveNet. Mor et al. (2018) used an encoderdecoder approach for the Timbre Transfer problem, where they trained a universal encoder to learn a shared representation of raw waveforms of various instruments, as well as instrument-specific decoders to reconstruct waveforms from the shared representation. In a parallel work, Bitton et al. (2018) approached the many-to-many timbre transfer problem with their MoVE model which is based on UNIT (Liu et al., 2017) but with Maximum Mean Discrepancy (MMD) as their objective. While their approach has the advantage of training a single model for many transfer directions, our TimbreTron model has the advantage that it uses a GAN-based training objective, which (in the image domain) typically results in outputs with higher perceptual quality compared to VAEs. ", + "bbox": [ + 174, + 166, + 826, + 361 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 386, + 326, + 401 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We conducted two sets of experiments to 1) experiment with pitch-shifting and tempo-changing to further validate our choice of CQT representation; 2) test our full TimbreTron pipeline (along with ablation experiments to validate our architectural choices). See Appendix C for the details of our experimental setup. For this section, please listen to audio samples we provided in our website5 as you read along. ", + "bbox": [ + 174, + 420, + 825, + 491 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.1 DATASETS ", + "text_level": 1, + "bbox": [ + 174, + 512, + 287, + 526 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Training TimbreTron requires collections of unrelated recordings of the source and target instruments. We built our own MIDI and real world datasets of classical music for training TimbreTron. Within each type of dataset, we gathered unrelated recordings of Piano, Flute, Violin and Harpsichord and then divided the entire dataset into training set and test set. We ensured that the training and test sets were entirely disjoint in terms of musical content by splitting the datasets by musical piece. The training dataset was divided into 4-second chunks, which were the basic units processed by our CycleGAN and WaveNet. Links to source audio and more details about our dataset are given in Appendix C.1 ", + "bbox": [ + 174, + 540, + 825, + 651 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.2 DISENTANGLING PITCH AND TEMPO USING CQT REPRESENTATION ", + "text_level": 1, + "bbox": [ + 176, + 672, + 683, + 688 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Before presenting our timbre transfer results, we first consider the simpler task of disentangling pitch and tempo. Recall that the two properties are entangled in the time domain representation, e.g. subsampling the waveform simultaneously increases the tempo and raises the pitch. Changing the two independently requires more sophisticated analysis of the signal. In the context of our TimbreTron pipeline, due to the CQT’s pitch equivariance property, pitch shifting can be (approximately) performed simply by translating the CQT representation on the log-frequency axis. (Since the STFT uses linearly sampled frequencies, it does not lend itself easily to this type of simple transformation.) Audio time stretching can be done using either the CQT or STFT representations, combined with the WaveNet synthesizer, by changing the number of waveform samples generated per CQT window. Regardless of the number of samples generated, the WaveNet synthesizer is able to produce the correct pitch based on the local frequency content. (See section 6.2 of the OneDrive folder) In conclusion, our method was able to vary the pitch and tempo independently while otherwise preserving the timbre and musical structure. ", + "bbox": [ + 173, + 700, + 826, + 881 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.3 TIMBRE TRANSFER EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 452, + 117 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "While most of our experiments on timbre transfer are conducted on real world music recordings, we also use synthetic MIDI audio data in our ablation studies because it is possible to produce paired dataset for evaluation purpose. In this section, we show our experimental findings on the full TimbreTron pipeline using real world data, verify the correctness of our reasoning about CQT, and show the generalization capability of TimbreTron. ", + "bbox": [ + 174, + 130, + 825, + 199 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Comparing CQT and STFT Representations One of the key design choices in TimbreTron was whether to use an STFT or CQT representation. If the STFT representation is used, there is an additional choice of whether to reconstruct using the Griffin-Lim algorithm or the conditional WaveNet synthesizer. We found that the STFT-based pipeline had two problems: 1) it sometimes failed to correctly transfer low pitches, likely due to the STFT’s poor frequency resolution at low frequencies, and 2) it sometimes produced a random permutation of pitches. For example, we ran TimbreTron on a Bach piano sample played by a professional musician. The STFT TimbreTron transposed parts of the longer excerpt by different amounts, and for a few notes in particular, seemed to fail to transpose them by the same amount as it did the others. As is shown by audio samples here6, those problems were completely solved using CQT TimbreTron (likely due to the CQT’s pitch equivariance and higher frequency resolution at low frequencies). Both of these artifacts occurred in both WaveNet and Griffin-Lim reconstruction methods (See Table 4), which suggests that the source of the artifacts are likely to be from the CycleGAN stage of the pipeline. (Please listen to corresponding samples in section 6.3 of the OneDrive folder) This empirically demonstrates the effectiveness of the CQT representation compared with STFT. ", + "bbox": [ + 174, + 217, + 825, + 424 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Generalizing from MIDI to Real-World Audio To further explore the generalization capability of TimbreTron, we also tried one domain adaptation experiment where we took a CycleGAN trained on MIDI data, tested it on the real world test dataset, and synthesized audio with Wavenet trained on training real world data. As is shown from the corresponding audio examples in this section7, the quality of generated audio is very good, with pitch preserved and timbre transfered. The ability to generalize from MIDI to real-world is interesting, in that it opens up the possibility of training on paired examples. ", + "bbox": [ + 174, + 443, + 825, + 540 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6.4 EVALUATION WITH AMAZON MECHANICAL TURK (AMT) ", + "text_level": 1, + "bbox": [ + 174, + 558, + 617, + 571 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We conducted a human study to investigate whether TimbreTron could transfer the timbre of a reference collection of signals while otherwise preserving the musical content. We also evaluated the effectiveness of the CQT representation by comparing with a variant of TimbreTron with the CQT replaced by the STFT. All results are showns in Tables 2, 3 and 4, with detailed discussion in this section. A list of questions asked in AMT can be found in Table 1. ", + "bbox": [ + 174, + 585, + 825, + 654 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Does TimbreTron transfer timbre while preserving the musical piece? To be effective, the system must transform a given audio input so that the output is (1) recognizable as the same (or appropriately similar) basic musical piece, and (2) recognizable as the target instrument. We address both of these criteria by two types of comparison-based experiments: instrument similarity and musical piece similarity. The questions we asked are listed in Table 1. Table 2 shows results for the instrument similarity comparison and Table 3 shows results for the music piece similarity comparison. The respondents were also asked to provide their subjective judgment about the instrument used for the provided samples. The original questionnaire can be found here8. ", + "bbox": [ + 174, + 671, + 825, + 784 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "(1) Preserving the musical piece. A different instrument playing the same notes may not always sound subjectively like the same “piece”. When this is done in musical contexts, the notes themselves are often changed in order to adapt pieces between instruments, and this is generally referred to as a ", + "bbox": [ + 176, + 790, + 821, + 832 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/588ca95db06e0cb4d2f5461ab179ebaad6cb0d8a3e1d8e21ddbd5f79f3a1f5a9.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Listen to two audio clips: (Embedded link for clip A and clip B)
The clip A and B may be similar in some ways,and different in others. Rate their similarities with the following criteria:
", + "bbox": [ + 178, + 102, + 821, + 143 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "(i) Instrument similarity: ", + "text_level": 1, + "bbox": [ + 183, + 147, + 361, + 160 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "(a) Instrument is very similar (e.g. A and B were generated with two different pianos) \n(b) Instrument is similar (A and B are in the same family: both wind instrument, or both string instrument, etc) \n(c) Instrument is different \n(d) I don’t know ", + "bbox": [ + 199, + 161, + 761, + 231 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "(ii) Musical piece similarity: ", + "text_level": 1, + "bbox": [ + 181, + 232, + 380, + 244 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "(a) Musical pieces are nearly identical (e.g. A and B are two different performances of the same piece: perhaps a few notes are different, perhaps timing is slightly different) \n(b) Musical pieces are very similar (e.g. A and B are different versions of the same piece, e.g. two different arrangements) \n(c) Musical pieces are related (e.g. A and B are two different, but related, pieces) \n(d) Entirely different (unrelated) musical piece \n(e) I don’t know ", + "bbox": [ + 187, + 244, + 787, + 340 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/b196faa01a4f8f12c96ad25ed5a68594082cb3925703f32514f0eb139f5fce21.jpg", + "table_caption": [ + "Table 1: The exact question format that was used in the AMT studies. For part (i) and (ii), participants were asked to choose one answer among the options. For part (iii) and (iv), a text box was provided for participants to type in their answers. " + ], + "table_footnote": [], + "table_body": "
(iii) What instrument did clip A primarily sound like to you?
(iv) What instrument did clip B primarily sound like to you?
", + "bbox": [ + 173, + 342, + 816, + 372 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/fd1942a5fb6327a5b8a66207cea9b6c2e1d89925b67093cccfa7f1f4346c11ab.jpg", + "table_caption": [ + "Table 2: AMT results on pair-wise instrument comparisons between our proposed TimbreTron without beam search, ground truth original instrument and ground truth target instrument. This corresponds to question type (i) in Table 1. " + ], + "table_footnote": [], + "table_body": "
TotalSamplesAnswerAudio SampleVerySimilarSimilarDifferentDo not know
200Target Instrument & TimbreTronGeneration31.2%40.5%28.0%0.5%
100Original Instrument &Tim+breTron Generation23.0%21.0%56.0%0.0%
", + "bbox": [ + 173, + 446, + 825, + 537 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "new “arrangement” of an existing piece. Thus, even in the cases where we had a recording available in the target domain, the exact notes or timings were not always identical to those in the original recording from which we transferred. Overall, when we did have such a target domain recording of a real instrument, we found that for the pair of (Real Target Instrument, TimbreTron Generated Target Instrument), $6 7 . 5 \\%$ of responses considered the musical pieces to be nearly identical or very similar, while roughly $2 2 . 5 \\%$ considered them related and $10 \\%$ considered them different. (Details in Table 3.) Thus, it appears that generally the musical piece was indeed preserved. ", + "bbox": [ + 173, + 625, + 825, + 723 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "(2) Transferring the timbre. Evaluating this is challenging because, if the transfer is not perfect (which it is not), then judging similarity of not-quite-identical instruments is fraught with perceptual challenges. With this in mind, we included a range of pairwise comparisons and gave a likert scale with various anchors. Overall, we found that for the pair (Ground Truth Target audio, TimbreTron Generated audio), roughly $7 1 . 7 \\%$ of responses considered the instrument generating the audio to be very similar (e.g. still piano, but a different piano) or similar (e.g. another string instrument). (More details in Table 2.) We also asked participants to identify the instrument that they heard in some of the audio excerpts, with an open-ended question. Generally we found that participants were indeed able to either identify the correct instrument, or confused with a very similar-sounding instrument. For example, one participant described a generated harpsichord as a banjo, which is in fact very close to harpsichord in terms of timbre. As a reference, participants had similar reasonable confusions about identifying ground truth instruments as well (e.g., one participant described a real harpsichord as being a sitar). Based on perceptual evaluations above, we claim that TimbreTron is able to transfer timbre recognizably while preserving the musical content. ", + "bbox": [ + 173, + 729, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/41371be6b193eb7d6fb3c03ca64ee56a0036d7ca4387870175f5e01b7f578c32.jpg", + "table_caption": [ + "Table 3: AMT results on pair-wise musical piece comparisons between our proposed TimbreTron without beam search, ground truth original instrument and ground truth target instrument. This corresponds to question type (ii) in Table 1. " + ], + "table_footnote": [], + "table_body": "
TotalSamplesAnswer ArchitectureNearlyIdenticalVerySimilarRelatedEntirelyDifferentDo notknow
200TargetInstrument&Tim+breTronGeneration29.5%38.0%22.5%10.0%0.0%
100OriginalInstrument&Tim+breTron Generation32.0%21.0%25.0%22.0%0.0%
", + "bbox": [ + 173, + 101, + 825, + 191 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/bbc4130d241fb032b73b300d307ab4c980870ea9128731e899ab48acaad1b118.jpg", + "table_caption": [ + "Table 4: AMT results on timbre quality comparisons between our proposed TimbreTron, TimbreTron but with STFT Wavenet and TimbreTron with STFT Griffin-Lim. Participants are asked: which one of the following two samples sounds more like the instrument provided in the target instrument sample? " + ], + "table_footnote": [], + "table_body": "
Total SamplesAnswer Audio SampleCQTsameSTFT
400STFT+WaveNetcounterpart54.5%23.5%22.0%
400STFT+Griffinlimcounterpart55.0%25.2%19.8%
", + "bbox": [ + 173, + 257, + 491, + 296 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Comparing CQT vs. STFT To empirically test if our proposed TimbreTron with CQT representation is better than its STFT-Wavenet counterpart, or its STFT-GriffinLim counterpart, we conducted a human study using AMT. The original questionnaire can be found here9 In the questionnaire, we asked Turkers to listen to three audio clips: the original audio from instrument A (the “instrument example”), the TimbreTron generated audio of instrument A, and its STFT conterparts, then asked them: “In your opinion, which one of A and B sounds more like the instrument provided in ‘instrument example”’? , where A and B in the questions are the generated samples (presented in random order). Naturally, sounding closer to the “instrument sample” means the timbre quality is better. We conducted two groups of experiment. In the first group, the STFT counterpart is the Wavenet and CycleGAN trained on STFT representation and the result is in first row of the Table 4: most people think the CQT TimbreTron is better. In the second group, we took the same CycleGAN trained on STFT, but instead simply generated the waveform using Griffin-Lim algorithm. The results are in the second row: Even more people think CQT TimbreTron is better. In conclusion, compared to Griffin-Lim as the baseline, training a Wavenet on STFT improved Timbre quality marginally. Furthermore, samples generated by TimbreTron trained on CQT was proven to have significantly better timbre quality. ", + "bbox": [ + 173, + 381, + 825, + 602 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6.5 ABLATION STUDY FOR TIMBRETRON", + "text_level": 1, + "bbox": [ + 176, + 621, + 472, + 636 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "To better understand and justify each modification we made to the original CycleGAN, we conducted an ablation study where we removed one modification at a time for MIDI CQT experiment. (We used MIDI data for ablation because the dataset has paired samples, which provides a convenient ground truth for transfer quality evaluation.) Figure 4 demonstrates the necessity of each modification for the success of TimbreTron. ", + "bbox": [ + 174, + 648, + 825, + 718 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "7 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 739, + 318, + 756 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We presented the TimbreTron, a pipeline for perfoming high-quality timbre transfer on musical waveforms using CQT-domain style transfer. We perform the timbre transfer in the time-frequency domain, and then reconstruct the inputs using a WaveNet (circumventing the difficulty of phase recovery from an amplitude CQT). The CQT is particularly well suited to convolutional architectures due to its approximate pitch equivariance. The entire pipeline can be trained on unrelated real-world music segments, and intriguingly, the MIDI-trained CycleGAN demonstrated generalization capability to real-world musical signals. Based on an AMT study, we confirmed that TimbreTron recognizably transferred the timbre while otherwise preserving the musical content, for both monophonic and polyphonic samples. We believe this work constitutes a proof-of-concept for CQT-domain manipulation of musical signals with high-quality waveform outputs. ", + "bbox": [ + 174, + 772, + 826, + 883 + ], + "page_idx": 9 + }, + { + "type": "image", + "img_path": "images/4d9cdac31dffec220d75296140c7bee749082676986a3aa1f54d2fe1fc008b7c.jpg", + "image_caption": [ + "Figure 4: Rainbowgrams of the 4-second audio samples for the ablation study on MIDI test dataset. The source ground truth and the target ground truth come from a paired samples in the dataset. All other audio samples are the timbre transfer results from the source ground truth with different versions (full and ablated) of our TimbreTron. “Full Model” corresponds to the output of our final TimbreTron, which is perceptually closest to target ground truth and have the best audio quality. “Original discriminator” or “Original generator” corresponds to the TimbreTron pipeline with the discriminator or generator replaced by the original discriminator or generator in the original CycleGAN. “No gradient penalty”, “No identity loss”, and “No data augmentation” refer to the full model without the corresponding modifications. “Baseline” is the original CycleGAN (Zhu et al., 2017) " + ], + "image_footnote": [], + "bbox": [ + 179, + 101, + 818, + 363 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 527, + 823, + 556 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 577, + 356, + 592 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "We thank Doug Eck, Jesse Engel, Phillip Isola, Eleni Triantafillou and Sanja Fidler for helpful discussions. We also thank Aidan Gomez and For.ai for early codebase development and coding advice. ", + "bbox": [ + 174, + 607, + 825, + 648 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 670, + 285, + 685 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Jont B Allen and Lawrence R Rabiner. A unified approach to short-time Fourier analysis and synthesis. Proceedings of the IEEE, 65(11):1558–1564, 1977. ", + "bbox": [ + 171, + 694, + 825, + 722 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Sercan O Arik, Mike Chrzanowski, Adam Coates, Gregory Diamos, Andrew Gibiansky, Yongguo Kang, Xian Li, John Miller, Jonathan Raiman, Shubho Sengupta, et al. Deep voice: Real-time neural text-to-speech. arXiv preprint arXiv:1702.07825, 2017. ", + "bbox": [ + 174, + 731, + 821, + 773 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Adrien Bitton, Philippe Esling, and Axel Chemla-Romeu-Santos. 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", + "bbox": [ + 171, + 895, + 823, + 924 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Zili Yi, Hao Zhang, Ping Tan Gong, et al. DualGAN: Unsupervised dual learning for image-to-image translation. arXiv preprint arXiv:1704.02510, 2017. ", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Jun-Yan Zhu, Taesung Park, Phillip Isola, and Alexei A. Efros. Unpaired image-to-image translation using cycle-consistent adversarial networks. CoRR, abs/1703.10593, 2017. URL http:// arxiv.org/abs/1703.10593. ", + "bbox": [ + 174, + 154, + 823, + 195 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A COMPONENTS OF A MUSICAL TONE ", + "text_level": 1, + "bbox": [ + 176, + 222, + 511, + 238 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In this section, we will briefly describe the main components of a musical tone: pitch, loudness and timbre (Roederer, 2008). ", + "bbox": [ + 174, + 258, + 823, + 286 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Pitch is described subjectively as the “height” of a musical tone, and is closely tied to the fundamental mode of oscillation of the instrument that is producing the tone. This oscillation mode is often called the fundamental frequency, and can often be observed as the lowest band in spectrogram visualizations (Figure 3). ", + "bbox": [ + 174, + 292, + 825, + 349 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Loudness is linked to the perception of sound pressure, and is often subjectively described as the “intensity” of the tone. It roughly correlates with the amplitude of the waveform of the perceived tone, and has a weak dependence to pitch (Hass, 2018). ", + "bbox": [ + 174, + 357, + 825, + 398 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Timbre is the perceptual quality of a musical tone that enables us to distinguish between different instruments and sound sources with the same pitch and loudness (Roederer, 2008). The physical characteristics that define the timbre of a tone are its energy spectrum (the magnitude of the corresponding spectrogram) and its envelope. ", + "bbox": [ + 174, + 406, + 825, + 462 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Since sounds generated by physical instruments mostly rely on oscillations of physical material, the energy spectra of instruments consist of bands, which correspond to (approximately) the integer multiples of the fundamental frequency. These multiples are called harmonics, or overtones, and can be observed in Figure 3. The timbre of an instrument is tightly related to the relative strengths of the harmonics. The spectral signature of an instrument not only depends on the pitch of the tone played, but also changes over time. To see this clearly, consider that a single piano note of duration 500 milliseconds is played in reverse - the resultant sound will not be recognizable as a piano, although it will have the same spectral energy. The envelope of a tone corresponds to how the instantaneous amplitude changes over time, and is mainly affected by the instrument’s attack time (the transient “noise” created by the instrument when it is first played), decay/sustain (how the amplitude decreases over time, or can be sustained by the player of the instrument) and release (the very end of the tone, following the time the player “releases” the note). All these factors add to the complexity and richness of an instrument’s sound, while also making it difficult to model it explicitly. ", + "bbox": [ + 173, + 468, + 825, + 648 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B SPECTROGRAM PROCESSING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 676, + 526, + 691 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Waveform to CQT Spectrogram Using constant-Q transform as described in Section 2.1, CQT spectrogram can be easily computed from time-domain waveforms. In this work, we use a 16 ms frame hop (256 time steps under $1 6 \\mathrm { k H z }$ ), $\\omega _ { 0 } = 3 2 . 7 0 \\ \\mathrm { H z }$ (the frequency of $\\mathrm { C 1 ~ } ^ { 1 0 }$ ), $b = 4 8$ , $k _ { m a x } = 3 3 6$ for the CQT transform. Standard implementations of CQT (e.g., librosa (librosa)) also allow scaling the Q values by a constant $\\gamma > 0$ to have finer control over time resolution - choosing $\\gamma \\in ( 0 , 1 )$ results in increased time resolution. In our experiments, we choose $\\gamma = 0 . 8$ . After the transformation, we take the log magnitude of the CQT spectrogram as the spectrogram representation. ", + "bbox": [ + 174, + 712, + 825, + 809 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Waveform to STFT Spectrogram All the STFT spectrograms are generated using STFT with $k _ { m a x } = 3 3 7$ . The window function is picked to be Hann Window with a window length of 672. A $1 6 \\mathrm { m s }$ frame hop is also used (256 time steps under 16kHz). Similar to CQT spectrogram, we also take the log magnitude of the STFT spectrogram as the spectrogram representation after the STFT. ", + "bbox": [ + 176, + 832, + 825, + 887 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "C DETAILED EXPERIMENTAL SETTINGS ", + "text_level": 1, + "bbox": [ + 174, + 102, + 522, + 118 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.1 DATASETS ", + "text_level": 1, + "bbox": [ + 174, + 133, + 289, + 148 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "MIDI Dataset Our MIDI dataset consists of two parts: MIDI-BACH 11 and MIDI-Chopin 12. MIDI-BACH dataset is synthesized from a collection of bach MIDI files which have a total duration of around 10 hours 13. Each dataset contains 6 instruments: acoustic grand, violin, electric guitar, flute, and harpsichord. We generated the audio with the same melody but different timbre, which makes it possible to obtain paired data during evaluation. ", + "bbox": [ + 174, + 159, + 825, + 229 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Real World Dataset Our Real World Dataset comprises of data collected from YouTube videos of people performing solo on different instruments including piano, harpsichord, violin and flute. Each instrument contains around 3 to 10 hours of recording. Here is a complete list of YouTube links from which we collected our Real World Dataset. Note that we’ve also randomly taken out some segments for the validation set. ", + "bbox": [ + 174, + 244, + 825, + 314 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "• Piano https://www.youtube.com/watch?v $=$ cOrKeFUZSJ0 https://www.youtube.com/watch?v=GujB0ahKFrY https://www.youtube.com/watch?v $=$ 0sDleZkIK-w&t=629s \n• Harpsichord https://www.youtube.com/watch?v $=$ oeY4a4C-Xuk&t $=$ 1555s https://www.youtube.com/watch?v $=$ Seu9ju7g9u8 \n• Violin https://www.youtube.com/watch?v $=$ wtbIT8ALNEA&t $= .$ 21s https://www.youtube.com/watch?v $=$ XkZvyA69wCo \n• Flute https://www.youtube.com/watch?v $=$ 6GwfuWhOOdY https://www.youtube.com/watch?v $=$ s6CUi8Gthzc https://www.youtube.com/watch?v $=$ uE9SjAqPGsc&t $=$ 1001s ", + "bbox": [ + 215, + 327, + 736, + 564 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.2 DOMAIN SPECIFIC GLOBAL NORMALIZATION ", + "text_level": 1, + "bbox": [ + 174, + 594, + 534, + 608 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "As is shown in Figure 5 in Appendix C.7, the distribution of spectrogram pixel magnitude is roughly centered at -2, which is not good for learning because of the tanh activation function works better when the activation is in the range of $[ - 1 , 1 ]$ . Thus, we globally normalized the spectrogram data to be mostly in the range of $[ - 1 , 1 ]$ for each instrument domain. We scaled and shifted the spectrograms based on the mean and standard deviation of each instrument domain to achieve Domain Specific Global Normalization in the input pipeline, and reverse this operation on the output of CycleGAN to minimize possible distribution shift before feeding the output for wavenet generation. ", + "bbox": [ + 173, + 619, + 825, + 718 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.3 CYCLEGAN TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 734, + 444, + 750 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In CycleGAN training, because we made several architectural changes, we retuned the hyperparameters. The weighting for our cycle consistency loss is 10 and the weighting of the identity loss is 5. In the original CycleGAN the weighting of identity loss is constant throughout training but in our experiment, it stays constant for the first 100000 steps, then it starts linearly decay to 0. We set the weighing for Gradient Penalty to be 10, as was suggested in Gulrajani et al. (2017). Our learning rate is exponentially warmed up to 0.0001 over 2500 steps, stays constant, then at step 100000 starts to linearly decay to zero. The total training step is 1.5 million steps, trained with Adam optimizer (Kingma and Ba, 2014) with $\\beta _ { 1 } = 0$ and $\\beta _ { 2 } = 0 . 9$ , with a batch size of 1. ", + "bbox": [ + 174, + 761, + 825, + 872 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.4 CONDITIONAL WAVENET TRAINING ", + "text_level": 1, + "bbox": [ + 178, + 103, + 467, + 117 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "For the conditional wavenet , we used kernel size of 3 for all the dilated convolution layers and the initial causal convolution. The residual connections and the skip connections all have width of 256 for all the residual blocks. The initial causal convolution maps from a channel size of 1 to 256. The dilated convolutions map from a channel size of 256 to 512 before going through the gated activation unit. The conditional wavenet is trained with a learning rate of 0.0001 using Adam optimizer (Kingma and Ba, 2014), batch size of 4, sample length of 8196 $\\approx 0 . 5 s$ for audio with $1 6 0 0 0 \\mathrm { H z }$ sampling rate). To improve the generation quality we maintain an exponential moving average of the weights of the network with a decaying factor of 0.999. The averaged weights are then used to perform the autoregressive generation. To make the model more robust, we augmented the training dataset by randomly rescaling the original waveform based on its peak value based on a uniform distribution uniform(0.1, 1.0). In addition, we also added a constant shift to the spectrogram before feeding it into the WaveNet as the local conditioning signal; this shift of $+ 2$ was chosen to achieve a mean of approximately zero. ", + "bbox": [ + 173, + 130, + 825, + 310 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "C.5 BEAM SEARCH ", + "text_level": 1, + "bbox": [ + 174, + 325, + 323, + 340 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "During autoregressive generation, we perform a modified beam search where the global objective is to minimize the discrepancy between the target CQT spectrogram and the CQT spectrogram of the synthesized audio waveform. Our beam search alternates between two steps: 1) run the autoregressive WaveNet on each existing candidate waveforms for $n$ steps $n = 2 0 4 8 )$ ) to extend the candidate waveforms, 2) prune the waveforms that have large squared error between the waveforms’ CQT spectrogram and the target CQT spectrogram (beam search heuristic). We maintain a constant number of candidates (beam width $= 8$ ) by replicating the remaining candidate waveforms after each pruning process. To make sure the local beam search heuristic is approximately aligned with the global objective, we take $n$ extra prediction steps forward and use the extra $n$ samples along with the candidate waveforms to obtain a better prediction of the spectrogram for the candidate waveforms. The algorithm is provided in details as follows given the target spectrogram $C _ { t a r g e t }$ : ", + "bbox": [ + 174, + 352, + 826, + 505 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "1. $k 0$ \n2. Perform $2 n$ autoregressive synthesis step on WaveNet on $\\{ x _ { 1 } , \\cdots , x _ { k } \\}$ with $m$ parallel probes $\\mathbf { \\chi } _ { m }$ is the beam width) to produce $m$ subsequent waveforms: $\\bar { \\{ x _ { k + 1 } ^ { ( 1 ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( 1 ) } \\} } , \\{ x _ { k + 1 } ^ { ( 2 ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( 2 ) } \\} , \\cdot \\cdot \\cdot , \\{ x _ { k + 1 } ^ { ( \\hat { m } ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( m ) } \\}$ \n3. Compute the CQT spectrogram 0 $C _ { i }$ of 0 $\\{ x _ { k + 1 } ^ { ( i ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( i ) } \\}$ for each $i \\in \\{ 1 , 2 , \\cdots , m \\}$ , and find the waveform $\\{ x _ { k + 1 } ^ { ( i ^ { \\prime } ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( i ^ { \\prime } ) } \\}$ with the lowest square difference between $C _ { i }$ and the target CQT spectrogram $C _ { t }$ arget \n4. Update the waveform $x _ { j } = x _ { j } ^ { i ^ { \\prime } } , \\forall j \\in \\{ k + 1 , k + 2 , \\cdots , k + n \\}$ \n5. $k \\gets k + n$ ", + "bbox": [ + 210, + 513, + 826, + 672 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "C.6 ONE-SHOT GENERATION OF LONGER SEGMENTS ", + "text_level": 1, + "bbox": [ + 174, + 689, + 550, + 703 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "In our earlier attempts, we tried generating 4 seconds segments and then merge them back. However, this resulted in volume inconsistencies between the 4 second generations. We suspect the CycleGAN learned a random volume permutation, because essentially there’s no explicit gradient signal against it from the discriminator, after we enabled volume augmentation during train time. To resolve this issue, we removed the size constraint in our generator during test time so that it can generate based on input of arbitrary length. At test time, the dataset is no longer 4 second chunks, instead, we preserved the original length of the musical piece(except when the piece is too long we cut it down to 2 minutes due to GPU memory constraint). During test time generation, the entire piece is fed into the CycleGAN generator in one shot. ", + "bbox": [ + 174, + 714, + 825, + 839 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "C.7 SPECTROGRAM RAW PIXEL INTENSITY HISTOGRAM ", + "text_level": 1, + "bbox": [ + 174, + 857, + 573, + 869 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Figure 5 shows that the rough distribution of spectrograms are centered at $^ { - 2 }$ . As is discussed in Section 3.1, we globally normalized our input data based oh the distribution of spectrograms for each domain of instruments. ", + "bbox": [ + 174, + 882, + 823, + 922 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/baf5cae67422b2418efbf16466cad51c13df39e45c1778ff1515c43061fb772e.jpg", + "image_caption": [ + "Figure 5: Spectrogram raw pixel intensity histogram " + ], + "image_footnote": [], + "bbox": [ + 318, + 404, + 653, + 606 + ], + "page_idx": 16 + } +] \ No newline at end of file diff --git a/parse/train/S1lvm305YQ/S1lvm305YQ_middle.json b/parse/train/S1lvm305YQ/S1lvm305YQ_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..6b54956a7ac8defd36c114299475815ba2d5fcf0 --- /dev/null +++ b/parse/train/S1lvm305YQ/S1lvm305YQ_middle.json @@ -0,0 +1,41790 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 78, + 531, + 116 + ], + "lines": [ + { + "bbox": [ + 104, + 74, + 532, + 101 + ], + "spans": [ + { + "bbox": [ + 104, + 74, + 532, + 101 + ], + "score": 1.0, + "content": "TIMBRETRON: A WAVENET(CYCLEGAN(CQT(AUDIO)))", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 99, + 433, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 433, + 117 + ], + "score": 1.0, + "content": "PIPELINE FOR MUSICAL TIMBRE TRANSFER", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 113, + 133, + 517, + 158 + ], + "lines": [ + { + "bbox": [ + 111, + 132, + 518, + 148 + ], + "spans": [ + { + "bbox": [ + 111, + 132, + 221, + 148 + ], + "score": 1.0, + "content": "Sicong Huang1,2, Qiyang", + "type": "text" + }, + { + "bbox": [ + 221, + 134, + 242, + 146 + ], + "score": 0.78, + "content": "\\mathbf { L i } ^ { 1 , 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 132, + 246, + 148 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 246, + 134, + 299, + 146 + ], + "score": 0.3, + "content": "\\mathbf { C e m \\mathbf { A n i l } ^ { 1 , 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 132, + 338, + 148 + ], + "score": 1.0, + "content": ", Xuchan", + "type": "text" + }, + { + "bbox": [ + 339, + 134, + 367, + 146 + ], + "score": 0.29, + "content": "\\mathbf { B a o } ^ { 1 , 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 132, + 518, + 148 + ], + "score": 1.0, + "content": ", Sageev Oore2,3, Roger B. 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Grosse1,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 111, + 145, + 370, + 159 + ], + "spans": [ + { + "bbox": [ + 111, + 145, + 370, + 159 + ], + "score": 1.0, + "content": "University of Toronto1, Vector Institute2, Dalhousie University3", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 111, + 132, + 518, + 159 + ] + }, + { + "type": "title", + "bbox": [ + 278, + 186, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 212, + 469, + 388 + ], + "lines": [ + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "spans": [ + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "score": 1.0, + "content": "In this work, we address the problem of musical timbre transfer, where the goal is", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 223, + 469, + 235 + ], + "spans": [ + { + "bbox": [ + 141, + 223, + 469, + 235 + ], + "score": 1.0, + "content": "to manipulate the timbre of a sound sample from one instrument to match another", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 234, + 469, + 246 + ], + "spans": [ + { + "bbox": [ + 141, + 234, + 469, + 246 + ], + "score": 1.0, + "content": "instrument while preserving other musical content, such as pitch, rhythm, and", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 245, + 470, + 258 + ], + "spans": [ + { + "bbox": [ + 141, + 245, + 470, + 258 + ], + "score": 1.0, + "content": "loudness. In principle, one could apply image-based style transfer techniques to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 255, + 470, + 269 + ], + "spans": [ + { + "bbox": [ + 141, + 255, + 470, + 269 + ], + "score": 1.0, + "content": "a time-frequency representation of an audio signal, but this depends on having", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 268, + 470, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 268, + 470, + 279 + ], + "score": 1.0, + "content": "a representation that allows independent manipulation of timbre as well as high-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 278, + 470, + 289 + ], + "spans": [ + { + "bbox": [ + 141, + 278, + 470, + 289 + ], + "score": 1.0, + "content": "quality waveform generation. We introduce TimbreTron, a method for musical", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 289, + 469, + 302 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 469, + 302 + ], + "score": 1.0, + "content": "timbre transfer which applies “image” domain style transfer to a time-frequency", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "score": 1.0, + "content": "representation of the audio signal, and then produces a high-quality waveform", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 311, + 469, + 323 + ], + "spans": [ + { + "bbox": [ + 141, + 311, + 469, + 323 + ], + "score": 1.0, + "content": "using a conditional WaveNet synthesizer. We show that the Constant Q Transform", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 142, + 322, + 469, + 334 + ], + "spans": [ + { + "bbox": [ + 142, + 322, + 469, + 334 + ], + "score": 1.0, + "content": "(CQT) representation is particularly well-suited to convolutional architectures due", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 333, + 469, + 344 + ], + "spans": [ + { + "bbox": [ + 141, + 333, + 469, + 344 + ], + "score": 1.0, + "content": "to its approximate pitch equivariance. Based on human perceptual evaluations, we", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 469, + 356 + ], + "score": 1.0, + "content": "confirmed that TimbreTron recognizably transferred the timbre while otherwise", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 355, + 469, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 355, + 469, + 367 + ], + "score": 1.0, + "content": "preserving the musical content, for both monophonic and polyphonic samples. We", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 365, + 470, + 378 + ], + "spans": [ + { + "bbox": [ + 141, + 365, + 470, + 378 + ], + "score": 1.0, + "content": "made an accompanying demo video 1 which we strongly encourage you to watch", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 376, + 244, + 390 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 244, + 390 + ], + "score": 1.0, + "content": "before reading the paper.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 12.5, + "bbox_fs": [ + 141, + 212, + 470, + 390 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 408, + 206, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 407, + 208, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 208, + 424 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 434, + 505, + 565 + ], + "lines": [ + { + "bbox": [ + 105, + 433, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 447 + ], + "score": 1.0, + "content": "Timbre is a perceptual characteristic that distinguishes one musical instrument from another playing", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 446, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 505, + 457 + ], + "score": 1.0, + "content": "the same note with the same intensity and duration. 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An", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 626, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 506, + 640 + ], + "score": 1.0, + "content": "appealing strategy would be to directly apply image-based style transfer techniques to time-frequency", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 637, + 507, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 507, + 651 + ], + "score": 1.0, + "content": "representations of images, such as short-time Fourier transform (STFT) spectrograms. 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WaveNet’s ability to condition on abstract audio representations is", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 507, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 507, + 129 + ], + "score": 1.0, + "content": "particularly relevant, since it enables one to perform manipulations in high-level auditory represen-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "tations from which reconstruction would have previously been impractical. Tacotron2 performs", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "high-level processing on time-frequency representations of speech, and then uses WaveNet to output", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 372, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 372, + 162 + ], + "score": 1.0, + "content": "high-quality audio conditioned on the generated mel spectrogram.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 106, + 165, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "score": 1.0, + "content": "We adapt this general strategy to the music domain. We propose TimbreTron, a pipeline that performs", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "CQT-based timbre transfer with high-quality waveform output. It is trained only on unrelated", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "score": 1.0, + "content": "samples of two instruments. For our time-frequency representation, we choose the constant Q", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "transform (CQT), a perceptually motivated representation of music (Brown, 1991). We show that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "this representation is particularly well-suited to musical timbre transfer and other manipulations due", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "score": 1.0, + "content": "to its pitch equivariance and the way it simultaneously achieves high frequency resolution at low", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 465, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 465, + 244 + ], + "score": 1.0, + "content": "frequencies and high temporal resolution at high frequencies, a property that STFT lacks.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 247, + 505, + 358 + ], + "lines": [ + { + "bbox": [ + 106, + 248, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 259 + ], + "score": 1.0, + "content": "TimbreTron performs timbre transfer by three steps, shown in Figure 1. First, it computes the CQT", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 259, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 506, + 271 + ], + "score": 1.0, + "content": "spectrogram and treats its log-magnitude values as an image (discarding phase information). Second,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 270, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 506, + 282 + ], + "score": 1.0, + "content": "it performs timbre transfer in the log-CQT domain using a CycleGAN (Zhu et al., 2017). Finally,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 281, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 293 + ], + "score": 1.0, + "content": "it converts the generated log-CQT to a waveform using a conditional WaveNet synthesizer (which", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "implicitly must infer the missing phase information). Empirically, our TimbreTron can successfully", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "score": 1.0, + "content": "perform musical timbre transfer on some instrument pairs. The generated audio samples have realistic", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 311, + 507, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 507, + 328 + ], + "score": 1.0, + "content": "timbre that matches the target timbre while otherwise expressing the same musical content (e.g.,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "rhythm, loudness, pitch). We empirically verified that the use of a CQT representation is a crucial", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "component in TimbreTron as it consistently yields qualitatively better timbre transfer than its STFT", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 157, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 157, + 360 + ], + "score": 1.0, + "content": "counterpart.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5 + }, + { + "type": "image", + "bbox": [ + 160, + 371, + 449, + 455 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 160, + 371, + 449, + 455 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 160, + 371, + 449, + 455 + ], + "spans": [ + { + "bbox": [ + 160, + 371, + 449, + 455 + ], + "score": 0.968, + "type": "image", + "image_path": "b1f409115a04244b694817878bd6141c021e063d063f1f26e0d9c9e55d01559e.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 160, + 371, + 449, + 399.0 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 160, + 399.0, + 449, + 427.0 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 160, + 427.0, + 449, + 455.0 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 133, + 466, + 477, + 478 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 132, + 465, + 478, + 479 + ], + "spans": [ + { + "bbox": [ + 132, + 465, + 478, + 479 + ], + "score": 1.0, + "content": "Figure 1: The TimbreTron pipeline that performs timbre transfer from Violin to Flute.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + } + ], + "index": 26.0 + }, + { + "type": "title", + "bbox": [ + 108, + 507, + 200, + 520 + ], + "lines": [ + { + "bbox": [ + 104, + 505, + 202, + 523 + ], + "spans": [ + { + "bbox": [ + 104, + 505, + 202, + 523 + ], + "score": 1.0, + "content": "2 BACKGROUND", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 532, + 258, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 531, + 259, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 259, + 546 + ], + "score": 1.0, + "content": "2.1 TIME-FREQUENCY ANALYSIS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 108, + 553, + 504, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 567 + ], + "score": 1.0, + "content": "Time-frequency analysis refers to techniques that aim to measure how the signal’s frequency domain", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 565, + 242, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 242, + 577 + ], + "score": 1.0, + "content": "representation changes over time.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 106, + 581, + 503, + 604 + ], + "lines": [ + { + "bbox": [ + 106, + 581, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 594 + ], + "score": 1.0, + "content": "Short Time Fourier Transform (STFT) The STFT is one of the most commonly applied techniques", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 593, + 451, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 451, + 604 + ], + "score": 1.0, + "content": "for this purpose. The discrete STFT operation can be compactly expressed as follows:", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5 + }, + { + "type": "interline_equation", + "bbox": [ + 197, + 609, + 414, + 642 + ], + "lines": [ + { + "bbox": [ + 197, + 609, + 414, + 642 + ], + "spans": [ + { + "bbox": [ + 197, + 609, + 414, + 642 + ], + "score": 0.94, + "content": "S T F T \\{ x [ n ] \\} ( m , \\omega _ { k } ) = \\sum _ { n = - \\infty } ^ { \\infty } x [ n ] w [ n - m ] e ^ { - j \\omega _ { k } n }", + "type": "interline_equation", + "image_path": "dd96c0afbefe1b997c59d30b2df1db24e4e23ffa173c45adee3f5f942c80006f.jpg" + } + ] + } + ], + "index": 34.5, + "virtual_lines": [ + { + "bbox": [ + 197, + 609, + 414, + 625.5 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 197, + 625.5, + 414, + 642.0 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 648, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 404, + 661 + ], + "score": 1.0, + "content": "The above formula computes the STFT of an input time-domain signal", + "type": "text" + }, + { + "bbox": [ + 404, + 649, + 422, + 661 + ], + "score": 0.91, + "content": "x [ n ]", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 648, + 475, + 661 + ], + "score": 1.0, + "content": "at time step", + "type": "text" + }, + { + "bbox": [ + 476, + 651, + 486, + 659 + ], + "score": 0.72, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 660, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 148, + 672 + ], + "score": 1.0, + "content": "frequency", + "type": "text" + }, + { + "bbox": [ + 148, + 662, + 160, + 671 + ], + "score": 0.72, + "content": "\\omega _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 660, + 165, + 672 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 165, + 662, + 174, + 670 + ], + "score": 0.5, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 660, + 506, + 672 + ], + "score": 1.0, + "content": "refers to a zero-centered window function (such as Hann Window), which acts as a", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 312, + 683 + ], + "score": 1.0, + "content": "means of masking out the values that are away from", + "type": "text" + }, + { + "bbox": [ + 313, + 676, + 322, + 680 + ], + "score": 0.7, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 671, + 505, + 683 + ], + "score": 1.0, + "content": ". Hence, the equation above can be interpreted", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 328, + 695 + ], + "score": 1.0, + "content": "as the discrete Fourier transform of the masked signal", + "type": "text" + }, + { + "bbox": [ + 328, + 682, + 386, + 694 + ], + "score": 0.91, + "content": "x [ n ] w [ n - m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 681, + 506, + 695 + ], + "score": 1.0, + "content": ". An example spectrogram is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 693, + 184, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 693, + 184, + 705 + ], + "score": 1.0, + "content": "shown in Figure 2.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "Constant Q Transform (CQT). The CQT (Brown, 1991) is another time-frequency analysis tech-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "score": 1.0, + "content": "nique in which the frequency values are geometrically spaced, with the following particular pat-", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41.5 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 160 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 96 + ], + "score": 1.0, + "content": "Recent years have seen rapid progress on audio generation methods that directly generate high-quality", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 504, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 504, + 105 + ], + "score": 1.0, + "content": "waveforms, such as WaveNet (van den Oord et al., 2016), SampleRNN (Mehri et al., 2016), and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "Tacotron2 (Shen et al., 2017). WaveNet’s ability to condition on abstract audio representations is", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 507, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 507, + 129 + ], + "score": 1.0, + "content": "particularly relevant, since it enables one to perform manipulations in high-level auditory represen-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 127, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 505, + 139 + ], + "score": 1.0, + "content": "tations from which reconstruction would have previously been impractical. Tacotron2 performs", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "high-level processing on time-frequency representations of speech, and then uses WaveNet to output", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 372, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 372, + 162 + ], + "score": 1.0, + "content": "high-quality audio conditioned on the generated mel spectrogram.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 82, + 507, + 162 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 165, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "score": 1.0, + "content": "We adapt this general strategy to the music domain. We propose TimbreTron, a pipeline that performs", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "CQT-based timbre transfer with high-quality waveform output. It is trained only on unrelated", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "score": 1.0, + "content": "samples of two instruments. For our time-frequency representation, we choose the constant Q", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "transform (CQT), a perceptually motivated representation of music (Brown, 1991). We show that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "this representation is particularly well-suited to musical timbre transfer and other manipulations due", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "score": 1.0, + "content": "to its pitch equivariance and the way it simultaneously achieves high frequency resolution at low", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 465, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 465, + 244 + ], + "score": 1.0, + "content": "frequencies and high temporal resolution at high frequencies, a property that STFT lacks.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 164, + 506, + 244 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 247, + 505, + 358 + ], + "lines": [ + { + "bbox": [ + 106, + 248, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 259 + ], + "score": 1.0, + "content": "TimbreTron performs timbre transfer by three steps, shown in Figure 1. First, it computes the CQT", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 259, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 506, + 271 + ], + "score": 1.0, + "content": "spectrogram and treats its log-magnitude values as an image (discarding phase information). Second,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 270, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 506, + 282 + ], + "score": 1.0, + "content": "it performs timbre transfer in the log-CQT domain using a CycleGAN (Zhu et al., 2017). Finally,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 281, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 293 + ], + "score": 1.0, + "content": "it converts the generated log-CQT to a waveform using a conditional WaveNet synthesizer (which", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "implicitly must infer the missing phase information). Empirically, our TimbreTron can successfully", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "score": 1.0, + "content": "perform musical timbre transfer on some instrument pairs. The generated audio samples have realistic", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 311, + 507, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 507, + 328 + ], + "score": 1.0, + "content": "timbre that matches the target timbre while otherwise expressing the same musical content (e.g.,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "rhythm, loudness, pitch). We empirically verified that the use of a CQT representation is a crucial", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "component in TimbreTron as it consistently yields qualitatively better timbre transfer than its STFT", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 347, + 157, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 157, + 360 + ], + "score": 1.0, + "content": "counterpart.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 248, + 507, + 360 + ] + }, + { + "type": "image", + "bbox": [ + 160, + 371, + 449, + 455 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 160, + 371, + 449, + 455 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 160, + 371, + 449, + 455 + ], + "spans": [ + { + "bbox": [ + 160, + 371, + 449, + 455 + ], + "score": 0.968, + "type": "image", + "image_path": "b1f409115a04244b694817878bd6141c021e063d063f1f26e0d9c9e55d01559e.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 160, + 371, + 449, + 399.0 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 160, + 399.0, + 449, + 427.0 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 160, + 427.0, + 449, + 455.0 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 133, + 466, + 477, + 478 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 132, + 465, + 478, + 479 + ], + "spans": [ + { + "bbox": [ + 132, + 465, + 478, + 479 + ], + "score": 1.0, + "content": "Figure 1: The TimbreTron pipeline that performs timbre transfer from Violin to Flute.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + } + ], + "index": 26.0 + }, + { + "type": "title", + "bbox": [ + 108, + 507, + 200, + 520 + ], + "lines": [ + { + "bbox": [ + 104, + 505, + 202, + 523 + ], + "spans": [ + { + "bbox": [ + 104, + 505, + 202, + 523 + ], + "score": 1.0, + "content": "2 BACKGROUND", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 532, + 258, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 531, + 259, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 259, + 546 + ], + "score": 1.0, + "content": "2.1 TIME-FREQUENCY ANALYSIS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 108, + 553, + 504, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 567 + ], + "score": 1.0, + "content": "Time-frequency analysis refers to techniques that aim to measure how the signal’s frequency domain", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 565, + 242, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 242, + 577 + ], + "score": 1.0, + "content": "representation changes over time.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 552, + 505, + 577 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 581, + 503, + 604 + ], + "lines": [ + { + "bbox": [ + 106, + 581, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 594 + ], + "score": 1.0, + "content": "Short Time Fourier Transform (STFT) The STFT is one of the most commonly applied techniques", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 593, + 451, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 451, + 604 + ], + "score": 1.0, + "content": "for this purpose. The discrete STFT operation can be compactly expressed as follows:", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5, + "bbox_fs": [ + 106, + 581, + 505, + 604 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 197, + 609, + 414, + 642 + ], + "lines": [ + { + "bbox": [ + 197, + 609, + 414, + 642 + ], + "spans": [ + { + "bbox": [ + 197, + 609, + 414, + 642 + ], + "score": 0.94, + "content": "S T F T \\{ x [ n ] \\} ( m , \\omega _ { k } ) = \\sum _ { n = - \\infty } ^ { \\infty } x [ n ] w [ n - m ] e ^ { - j \\omega _ { k } n }", + "type": "interline_equation", + "image_path": "dd96c0afbefe1b997c59d30b2df1db24e4e23ffa173c45adee3f5f942c80006f.jpg" + } + ] + } + ], + "index": 34.5, + "virtual_lines": [ + { + "bbox": [ + 197, + 609, + 414, + 625.5 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 197, + 625.5, + 414, + 642.0 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 648, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 404, + 661 + ], + "score": 1.0, + "content": "The above formula computes the STFT of an input time-domain signal", + "type": "text" + }, + { + "bbox": [ + 404, + 649, + 422, + 661 + ], + "score": 0.91, + "content": "x [ n ]", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 648, + 475, + 661 + ], + "score": 1.0, + "content": "at time step", + "type": "text" + }, + { + "bbox": [ + 476, + 651, + 486, + 659 + ], + "score": 0.72, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 660, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 148, + 672 + ], + "score": 1.0, + "content": "frequency", + "type": "text" + }, + { + "bbox": [ + 148, + 662, + 160, + 671 + ], + "score": 0.72, + "content": "\\omega _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 660, + 165, + 672 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 165, + 662, + 174, + 670 + ], + "score": 0.5, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 660, + 506, + 672 + ], + "score": 1.0, + "content": "refers to a zero-centered window function (such as Hann Window), which acts as a", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 312, + 683 + ], + "score": 1.0, + "content": "means of masking out the values that are away from", + "type": "text" + }, + { + "bbox": [ + 313, + 676, + 322, + 680 + ], + "score": 0.7, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 671, + 505, + 683 + ], + "score": 1.0, + "content": ". Hence, the equation above can be interpreted", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 681, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 328, + 695 + ], + "score": 1.0, + "content": "as the discrete Fourier transform of the masked signal", + "type": "text" + }, + { + "bbox": [ + 328, + 682, + 386, + 694 + ], + "score": 0.91, + "content": "x [ n ] w [ n - m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 681, + 506, + 695 + ], + "score": 1.0, + "content": ". An example spectrogram is", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 693, + 184, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 693, + 184, + 705 + ], + "score": 1.0, + "content": "shown in Figure 2.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 648, + 506, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "Constant Q Transform (CQT). 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To make the filter for different frequencies", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 507, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 280, + 119 + ], + "score": 1.0, + "content": "adjacent to each other, the bandwidth of the", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 280, + 105, + 295, + 117 + ], + "score": 0.9, + "content": "k ^ { t h }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 295, + 105, + 370, + 119 + ], + "score": 1.0, + "content": "filter is chosen as:", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 371, + 104, + 503, + 118 + ], + "score": 0.92, + "content": "\\Delta _ { k } = \\omega _ { k + 1 } - \\omega _ { k } = \\omega _ { k } ( \\bar { 2 } ^ { \\frac { 1 } { b } } - 1 )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 503, + 105, + 507, + 119 + ], + "score": 1.0, + "content": ".", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 480, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 480, + 130 + ], + "score": 1.0, + "content": "This results in a constant frequency to resolution ratio (as known as the “quality (Q) factor”):", + "type": "text", + "cross_page": true + } + ], + "index": 3 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 709, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 81, + 506, + 128 + ], + "lines": [ + { + "bbox": [ + 105, + 80, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 174, + 96 + ], + "score": 1.0, + "content": "tern (Blankertz):", + "type": "text" + }, + { + "bbox": [ + 175, + 80, + 223, + 94 + ], + "score": 0.95, + "content": "\\omega _ { k } = 2 ^ { \\frac { k } { b } } \\omega _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 81, + 251, + 96 + ], + "score": 1.0, + "content": ". Here,", + "type": "text" + }, + { + "bbox": [ + 252, + 82, + 338, + 95 + ], + "score": 0.92, + "content": "k \\in \\{ 1 , 2 , 3 , . . . k _ { m a x } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 81, + 356, + 96 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 356, + 83, + 362, + 93 + ], + "score": 0.75, + "content": "b", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 81, + 507, + 96 + ], + "score": 1.0, + "content": "is a constant that determines the ge-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 506, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 506, + 105 + ], + "score": 1.0, + "content": "ometric separation between the different frequency bands. 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Engel et al. (2017) introduced the rainbowgram, a visualization of the CQT which", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 212, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 212, + 506, + 225 + ], + "score": 1.0, + "content": "uses color to encode time derivatives of phase; this highlights subtle timbral features which are", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 223, + 475, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 475, + 235 + ], + "score": 1.0, + "content": "invisible in a magnitude CQT. 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We explain our reasoning", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "for choosing the CQT representation and introduce our conditional WaveNet synthesizer which", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 345, + 393, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 393, + 357 + ], + "score": 1.0, + "content": "converts a (possibly generated) CQT to a high-quality audio waveform.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5 + }, + { + "type": "title", + "bbox": [ + 108, + 372, + 283, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 371, + 285, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 285, + 385 + ], + "score": 1.0, + "content": "3.1 CQT FOR MUSIC REPRESENTATION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 393, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 407 + ], + "score": 1.0, + "content": "The CQT representation (Brown, 1991) has desirable characteristics that make it especially suitable", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 405, + 506, + 418 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 506, + 418 + ], + "score": 1.0, + "content": "for processing musical audio signals. It uses a logarithmic representation of frequency, where the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "frequencies are generally chosen to exactly cover all the pitches present in the twelve tone, well-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 427, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 506, + 439 + ], + "score": 1.0, + "content": "tempered scale. Unlike the STFT, the CQT has higher frequency resolution towards lower frequencies,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "which leads to better pitch resolution for lower register instruments (such as cello or trombone), and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "higher time resolution towards higher frequencies, which is advantageous for recovering the fine", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "timing of rhythms. Since individual notes contain information across many frequencies (due to their", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "pattern of overtones), this combination of resolutions ought to allow simultaneous recovery of pitch", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "and timing information for any particular note. (While this information is preserved in the signal,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 493, + 448, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 448, + 505 + ], + "score": 1.0, + "content": "waveform recovery is a difficult problem in practice; this is discussed in Section 3.2).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 509, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "Another key feature of the CQT representation in the context of TimbreTron is (approximate)", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "score": 1.0, + "content": "pitch equivariance. Thanks to the geometric spacing of frequencies, a pitch shift corresponds", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 532, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 544 + ], + "score": 1.0, + "content": "(approximately) to a vertical translation of the “spectral signature” (unique pattern of harmonics)", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "score": 1.0, + "content": "of musical instruments. This means that the convolution operation is approximately equivariant", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "under pitch translation, which allows convolutional architectures to share structure between different", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "pitches. A demonstration of this can be seen in Figure 3. Since the harmonics of a musical instrument", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 575, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 505, + 589 + ], + "score": 1.0, + "content": "are approximately integer multiples of the fundamental frequency, scaling the fundamental frequency", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 587, + 441, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 441, + 599 + ], + "score": 1.0, + "content": "(hence the pitch) corresponds to a constant shift in all of the harmonics in log scale.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 481, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 481, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 481, + 617 + ], + "score": 1.0, + "content": "We also want to emphasize on some of the reasons why the equivariance is only approximate:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 132, + 625, + 505, + 710 + ], + "lines": [ + { + "bbox": [ + 135, + 626, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 135, + 626, + 505, + 638 + ], + "score": 1.0, + "content": "• Imperfect multiples: In real audio samples from instruments, the harmonics are only", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 141, + 636, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 141, + 636, + 505, + 649 + ], + "score": 1.0, + "content": "approximately integer multiples of the fundamental frequency, due to the material properties", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 142, + 648, + 303, + 660 + ], + "spans": [ + { + "bbox": [ + 142, + 648, + 303, + 660 + ], + "score": 1.0, + "content": "of the instruments producing the sound.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 138, + 666, + 506, + 677 + ], + "spans": [ + { + "bbox": [ + 138, + 666, + 506, + 677 + ], + "score": 1.0, + "content": "Dependence of spectral signature on pitch and beyond: For each pitch, each instrument", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 141, + 676, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 141, + 676, + 506, + 689 + ], + "score": 1.0, + "content": "has a slightly different spectral signature, meaning that a simple translation in the frequency", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 142, + 687, + 507, + 700 + ], + "spans": [ + { + "bbox": [ + 142, + 687, + 507, + 700 + ], + "score": 1.0, + "content": "axis cannot completely account for the changes in the frequency spectrum. 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More details can be found in Appendix B.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "adversarially via a two-player min-max game, where the discriminator attempts to distinguish real", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 462, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 462, + 106 + ], + "score": 1.0, + "content": "data from samples, and the generator attempts to fool the discriminator. 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GANs constituted a significant advance", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 161, + 432, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 432, + 174 + ], + "score": 1.0, + "content": "over previous generative models in terms of the quality of the generated samples.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 138, + 505, + 174 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 177, + 505, + 245 + ], + "lines": [ + { + "bbox": [ + 105, + 176, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 192 + ], + "score": 1.0, + "content": "CycleGAN (Zhu et al., 2017) is an architecture for unsupervised domain transfer: learning a mapping", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 189, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 505, + 202 + ], + "score": 1.0, + "content": "between two domains without any paired data. (Similar architectures were proposed independently by", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 199, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 506, + 213 + ], + "score": 1.0, + "content": "Yi et al. (2017); Liu et al. (2017); Kim et al. (2017).) The CycleGAN learns two generator mappings:", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 107, + 209, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 107, + 211, + 160, + 222 + ], + "score": 0.91, + "content": "F : \\mathcal { X } \\mathcal { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 209, + 179, + 225 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 180, + 211, + 232, + 222 + ], + "score": 0.91, + "content": "G : \\mathcal { y } \\mathcal { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 209, + 339, + 225 + ], + "score": 1.0, + "content": "; and two discriminators:", + "type": "text" + }, + { + "bbox": [ + 339, + 211, + 412, + 223 + ], + "score": 0.92, + "content": "D _ { \\mathcal { X } } : \\mathcal { X } [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 209, + 432, + 225 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 432, + 211, + 503, + 223 + ], + "score": 0.91, + "content": "D y : \\mathcal { Y } [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 209, + 506, + 225 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 221, + 506, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 506, + 235 + ], + "score": 1.0, + "content": "The loss function of CycleGAN consists of both adversarial losses (Eqn. 1), combined with a cycle", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 233, + 409, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 409, + 246 + ], + "score": 1.0, + "content": "consistency constraint which forces it to preserve the structure of the input:", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 176, + 506, + 246 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 153, + 252, + 448, + 266 + ], + "lines": [ + { + "bbox": [ + 153, + 252, + 448, + 266 + ], + "spans": [ + { + "bbox": [ + 153, + 252, + 448, + 266 + ], + "score": 0.88, + "content": "\\mathcal { L } _ { \\mathrm { c y c } } ( F , G , \\mathcal { X } , \\mathcal { Y } ) = \\mathbb { E } _ { x \\sim \\mathcal { X } } [ \\| G ( F ( x ) ) - x \\| _ { 1 } ] + \\mathbb { E } _ { y \\sim \\mathcal { Y } } [ \\| F ( G ( y ) ) - y \\| _ { 1 } ]", + "type": "interline_equation", + "image_path": "0b3de429d2f94633aaffe960365e05c58edb90d552a707b2b674480e8e0c37d1.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 153, + 252, + 448, + 266 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "title", + "bbox": [ + 106, + 283, + 496, + 297 + ], + "lines": [ + { + "bbox": [ + 104, + 283, + 498, + 298 + ], + "spans": [ + { + "bbox": [ + 104, + 283, + 498, + 298 + ], + "score": 1.0, + "content": "3 MUSIC PROCESSING WITH CONSTANT-Q-TRANSFORM REPRESENTATION", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 311, + 505, + 356 + ], + "lines": [ + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "This section focuses on the first and last steps of the TimbreTron pipeline: the steps related to the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 321, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 336 + ], + "score": 1.0, + "content": "transforming raw waveforms to and from time frequency representations. We explain our reasoning", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "for choosing the CQT representation and introduce our conditional WaveNet synthesizer which", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 345, + 393, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 393, + 357 + ], + "score": 1.0, + "content": "converts a (possibly generated) CQT to a high-quality audio waveform.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 311, + 505, + 357 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 372, + 283, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 371, + 285, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 285, + 385 + ], + "score": 1.0, + "content": "3.1 CQT FOR MUSIC REPRESENTATION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 393, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 407 + ], + "score": 1.0, + "content": "The CQT representation (Brown, 1991) has desirable characteristics that make it especially suitable", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 405, + 506, + 418 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 506, + 418 + ], + "score": 1.0, + "content": "for processing musical audio signals. It uses a logarithmic representation of frequency, where the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "frequencies are generally chosen to exactly cover all the pitches present in the twelve tone, well-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 427, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 506, + 439 + ], + "score": 1.0, + "content": "tempered scale. Unlike the STFT, the CQT has higher frequency resolution towards lower frequencies,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "which leads to better pitch resolution for lower register instruments (such as cello or trombone), and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "higher time resolution towards higher frequencies, which is advantageous for recovering the fine", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "timing of rhythms. Since individual notes contain information across many frequencies (due to their", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "pattern of overtones), this combination of resolutions ought to allow simultaneous recovery of pitch", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "and timing information for any particular note. (While this information is preserved in the signal,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 493, + 448, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 448, + 505 + ], + "score": 1.0, + "content": "waveform recovery is a difficult problem in practice; this is discussed in Section 3.2).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 393, + 506, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 509, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "Another key feature of the CQT representation in the context of TimbreTron is (approximate)", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "score": 1.0, + "content": "pitch equivariance. Thanks to the geometric spacing of frequencies, a pitch shift corresponds", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 532, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 544 + ], + "score": 1.0, + "content": "(approximately) to a vertical translation of the “spectral signature” (unique pattern of harmonics)", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "score": 1.0, + "content": "of musical instruments. This means that the convolution operation is approximately equivariant", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 553, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 553, + 505, + 565 + ], + "score": 1.0, + "content": "under pitch translation, which allows convolutional architectures to share structure between different", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "pitches. A demonstration of this can be seen in Figure 3. Since the harmonics of a musical instrument", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 575, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 505, + 589 + ], + "score": 1.0, + "content": "are approximately integer multiples of the fundamental frequency, scaling the fundamental frequency", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 587, + 441, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 441, + 599 + ], + "score": 1.0, + "content": "(hence the pitch) corresponds to a constant shift in all of the harmonics in log scale.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 510, + 506, + 599 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 481, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 481, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 481, + 617 + ], + "score": 1.0, + "content": "We also want to emphasize on some of the reasons why the equivariance is only approximate:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37, + "bbox_fs": [ + 106, + 603, + 481, + 617 + ] + }, + { + "type": "text", + "bbox": [ + 132, + 625, + 505, + 710 + ], + "lines": [ + { + "bbox": [ + 135, + 626, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 135, + 626, + 505, + 638 + ], + "score": 1.0, + "content": "• Imperfect multiples: In real audio samples from instruments, the harmonics are only", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 141, + 636, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 141, + 636, + 505, + 649 + ], + "score": 1.0, + "content": "approximately integer multiples of the fundamental frequency, due to the material properties", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 142, + 648, + 303, + 660 + ], + "spans": [ + { + "bbox": [ + 142, + 648, + 303, + 660 + ], + "score": 1.0, + "content": "of the instruments producing the sound.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 138, + 666, + 506, + 677 + ], + "spans": [ + { + "bbox": [ + 138, + 666, + 506, + 677 + ], + "score": 1.0, + "content": "Dependence of spectral signature on pitch and beyond: For each pitch, each instrument", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 141, + 676, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 141, + 676, + 506, + 689 + ], + "score": 1.0, + "content": "has a slightly different spectral signature, meaning that a simple translation in the frequency", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 142, + 687, + 507, + 700 + ], + "spans": [ + { + "bbox": [ + 142, + 687, + 507, + 700 + ], + "score": 1.0, + "content": "axis cannot completely account for the changes in the frequency spectrum. 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Therefore, in order to recover a waveform consistent", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "score": 1.0, + "content": "with the generated CQT, we need to infer the missing phase information, which is a difficult problem", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 279, + 195, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 195, + 293 + ], + "score": 1.0, + "content": "(Velasco et al., 2011).", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 297, + 505, + 353 + ], + "lines": [ + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "To convert log magnitude CQT spectrograms back to waveforms, we use a 40-layer conditional", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 305, + 507, + 323 + ], + "spans": [ + { + "bbox": [ + 104, + 305, + 241, + 323 + ], + "score": 1.0, + "content": "WaveNet with the dilation rate of", + "type": "text" + }, + { + "bbox": [ + 241, + 308, + 252, + 319 + ], + "score": 0.84, + "content": "2 ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 305, + 317, + 323 + ], + "score": 1.0, + "content": "(mod 10) for the", + "type": "text" + }, + { + "bbox": [ + 318, + 308, + 331, + 319 + ], + "score": 0.87, + "content": "k ^ { \\mathrm { { t h } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 305, + 507, + 323 + ], + "score": 1.0, + "content": "layer. 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Also, because it", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 388, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 505, + 399 + ], + "score": 1.0, + "content": "has difficulty modeling the local loudness, the loudness often drifts significantly over the timescale of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 399, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 506, + 411 + ], + "score": 1.0, + "content": "seconds. While these issues could potentially be addressed by improving the WaveNet architecture or", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "training method, we instead take the perspective that the WaveNet’s role is to produce a waveform", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "score": 1.0, + "content": "which matches the target CQT. Since the above artifacts are macro-scale errors which happen only", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "score": 1.0, + "content": "stochastically, the WaveNet has a significant probability of producing high-quality outputs over", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "a short segment (e.g. hundreds of milliseconds). Therefore, we perform a beam search using the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "score": 1.0, + "content": "WaveNet’s generations in order to better match the target CQT. See Appendix C.5 for more details", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 465, + 243, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 243, + 476 + ], + "score": 1.0, + "content": "about our beam search procedure.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 488, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 506, + 501 + ], + "score": 1.0, + "content": "Reverse Generation In early experiments, we observed that percussive attacks (onset character-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 499, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 505, + 511 + ], + "score": 1.0, + "content": "istics of an instrument in which it reaches a large amplitude quickly) are sometimes hard to model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "during forward generation, resulting in multiple attacks or missing attacks. We believe this problem", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "occurs because it is difficult to determine the onset of a note from a CQT spectrogram (in which", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "information is blurred in frequency), and it is difficult to predict precise pitch at the note onset due to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 543, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 506, + 555 + ], + "score": 1.0, + "content": "the broad frequency spectrum at that moment. 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As training data, we have collections", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "score": 1.0, + "content": "of unrelated recordings of different musical instruments. Hence, our timbre transfer problem on", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "log-amplitude CQT “images” is an instance of unsupervised “image-to-image” translation. To achieve", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 671, + 506, + 731 + ], + "lines": [ + { + "bbox": [ + 118, + 668, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 118, + 668, + 506, + 684 + ], + "score": 1.0, + "content": "3We up-sample the CQT spectrograms to the rate of the audio using nearest neighbour interpolation before", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 680, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 505, + 691 + ], + "score": 1.0, + "content": "conditioning them to the WaveNet. The audio sample is quantized using 8-bit mu-law, and the output of the", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 690, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 506, + 702 + ], + "score": 1.0, + "content": "WaveNet is from softmax layer over 256 quantized values. 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Therefore, in order to recover a waveform consistent", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 282 + ], + "score": 1.0, + "content": "with the generated CQT, we need to infer the missing phase information, which is a difficult problem", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 279, + 195, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 195, + 293 + ], + "score": 1.0, + "content": "(Velasco et al., 2011).", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 235, + 506, + 293 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 297, + 505, + 353 + ], + "lines": [ + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "To convert log magnitude CQT spectrograms back to waveforms, we use a 40-layer conditional", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 305, + 507, + 323 + ], + "spans": [ + { + "bbox": [ + 104, + 305, + 241, + 323 + ], + "score": 1.0, + "content": "WaveNet with the dilation rate of", + "type": "text" + }, + { + "bbox": [ + 241, + 308, + 252, + 319 + ], + "score": 0.84, + "content": "2 ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 305, + 317, + 323 + ], + "score": 1.0, + "content": "(mod 10) for the", + "type": "text" + }, + { + "bbox": [ + 318, + 308, + 331, + 319 + ], + "score": 0.87, + "content": "k ^ { \\mathrm { { t h } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 305, + 507, + 323 + ], + "score": 1.0, + "content": "layer. The model is trained using pairs of a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 318, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 505, + 333 + ], + "score": 1.0, + "content": "CQT and a waveform; this requires only a collection of unlabeled waveforms, since the CQT can", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 329, + 507, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 507, + 344 + ], + "score": 1.0, + "content": "be computed from the waveform.3 See Appendix C.4 for the details of the WaveNet architecture.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 340, + 338, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 338, + 354 + ], + "score": 1.0, + "content": "WaveNet reconstructed audio samples can be found here4", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13, + "bbox_fs": [ + 104, + 297, + 507, + 354 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 365, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 506, + 378 + ], + "score": 1.0, + "content": "Beam Search Because the conditional WaveNet generates stochastically from its predictive distri-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "bution, it sometimes produces low-probability outputs, such as hallucinated notes. Also, because it", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 388, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 505, + 399 + ], + "score": 1.0, + "content": "has difficulty modeling the local loudness, the loudness often drifts significantly over the timescale of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 399, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 506, + 411 + ], + "score": 1.0, + "content": "seconds. While these issues could potentially be addressed by improving the WaveNet architecture or", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "training method, we instead take the perspective that the WaveNet’s role is to produce a waveform", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "score": 1.0, + "content": "which matches the target CQT. Since the above artifacts are macro-scale errors which happen only", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "score": 1.0, + "content": "stochastically, the WaveNet has a significant probability of producing high-quality outputs over", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "a short segment (e.g. hundreds of milliseconds). Therefore, we perform a beam search using the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 466 + ], + "score": 1.0, + "content": "WaveNet’s generations in order to better match the target CQT. See Appendix C.5 for more details", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 465, + 243, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 243, + 476 + ], + "score": 1.0, + "content": "about our beam search procedure.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 365, + 506, + 476 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 488, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 506, + 501 + ], + "score": 1.0, + "content": "Reverse Generation In early experiments, we observed that percussive attacks (onset character-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 499, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 505, + 511 + ], + "score": 1.0, + "content": "istics of an instrument in which it reaches a large amplitude quickly) are sometimes hard to model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 522 + ], + "score": 1.0, + "content": "during forward generation, resulting in multiple attacks or missing attacks. We believe this problem", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "occurs because it is difficult to determine the onset of a note from a CQT spectrogram (in which", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "information is blurred in frequency), and it is difficult to predict precise pitch at the note onset due to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 543, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 506, + 555 + ], + "score": 1.0, + "content": "the broad frequency spectrum at that moment. We found that the problems of missing and doubled", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "score": 1.0, + "content": "attacks could be mostly solved by having the WaveNet generate the waveform samples in reverse", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 564, + 226, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 226, + 578 + ], + "score": 1.0, + "content": "order, from end to beginning.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 488, + 506, + 578 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 592, + 463, + 605 + ], + "lines": [ + { + "bbox": [ + 104, + 591, + 465, + 607 + ], + "spans": [ + { + "bbox": [ + 104, + 591, + 465, + 607 + ], + "score": 1.0, + "content": "4 TIMBRE TRANSFER WITH CYCLEGAN ON CQT REPRESENTATION", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 504, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "In this section, we describe the middle step of our TimbreTron pipeline, which performs timbre", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "transfer on log-amplitude CQT representations of the waveforms. As training data, we have collections", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "score": 1.0, + "content": "of unrelated recordings of different musical instruments. Hence, our timbre transfer problem on", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "log-amplitude CQT “images” is an instance of unsupervised “image-to-image” translation. To achieve", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "this, we applied the CycleGAN architecture, but adapted it in several ways to make it more effective", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 284, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 284, + 106 + ], + "score": 1.0, + "content": "for time-frequency representations of audio.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 617, + 506, + 663 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "this, we applied the CycleGAN architecture, but adapted it in several ways to make it more effective", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 284, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 284, + 106 + ], + "score": 1.0, + "content": "for time-frequency representations of audio.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 118, + 505, + 173 + ], + "lines": [ + { + "bbox": [ + 105, + 118, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 505, + 131 + ], + "score": 1.0, + "content": "Removing Checkerboard Artifacts The convnet-resnet-deconvnet based generators from the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 129, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 505, + 141 + ], + "score": 1.0, + "content": "original CycleGAN led to significant checkerboard artifacts in the generated CQT, which corresponds", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 140, + 505, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 140, + 505, + 153 + ], + "score": 1.0, + "content": "to severe noise in the generated waveform. To alleviate this problem, we replaced the deconvolution", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 150, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 505, + 165 + ], + "score": 1.0, + "content": "operation with nearest neighbor interpolation followed with regular convolution, as recommended by", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 160, + 187, + 175 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 187, + 175 + ], + "score": 1.0, + "content": "Odena et al. (2016).", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 186, + 505, + 242 + ], + "lines": [ + { + "bbox": [ + 106, + 186, + 506, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 506, + 198 + ], + "score": 1.0, + "content": "Full-Spectrogram Discriminator Due to the local nature of the original CycleGAN’s transforma-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 197, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 197, + 505, + 210 + ], + "score": 1.0, + "content": "tions, Zhu et al. (2017) found it advantageous for the discriminator only to process a local patch of", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 207, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 506, + 222 + ], + "score": 1.0, + "content": "the image. 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To compensate for this, we", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 481, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 481, + 289 + ], + "score": 1.0, + "content": "added the Gradient Penalty(GP) (Gulrajani et al., 2017) to enforce a soft Lipschitz constraint:", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 294, + 410, + 311 + ], + "lines": [ + { + "bbox": [ + 200, + 294, + 410, + 311 + ], + "spans": [ + { + "bbox": [ + 200, + 294, + 410, + 311 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { G P } } ( G , D , \\mathcal { Z } , \\hat { \\mathcal { X } } ) = \\alpha \\cdot \\mathbb { E } _ { \\hat { x } \\sim \\hat { x } } [ ( \\| \\nabla _ { \\hat { x } } D ( \\hat { x } ) \\| _ { 2 } - 1 ) ^ { 2 } ]", + "type": "interline_equation", + "image_path": "26e1473a6fb95c6c5b9dddb56a25a26f03182405a73147d1976579d5068a1309.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 200, + 294, + 410, + 311 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 317, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 128, + 331 + ], + "score": 1.0, + "content": "Here", + "type": "text" + }, + { + "bbox": [ + 128, + 317, + 138, + 329 + ], + "score": 0.86, + "content": "\\hat { \\mathcal X }", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 317, + 397, + 331 + ], + "score": 1.0, + "content": "are samples taken along a line between the true data distribution", + "type": "text" + }, + { + "bbox": [ + 397, + 319, + 406, + 329 + ], + "score": 0.81, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 317, + 506, + 331 + ], + "score": 1.0, + "content": "and the generator’s data", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 329, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 155, + 342 + ], + "score": 1.0, + "content": "distribution", + "type": "text" + }, + { + "bbox": [ + 156, + 330, + 241, + 342 + ], + "score": 0.91, + "content": "\\mathcal { X } _ { g } = \\{ F ( z ) | z \\sim \\mathcal { Z } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 329, + 505, + 342 + ], + "score": 1.0, + "content": "via convex combination of a real data point and a generated data", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "point. Fedus et al. (2018) showed empirically that the GP can stabilize GAN training. Furthermore,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 351, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 365 + ], + "score": 1.0, + "content": "Gomez et al. (2018) showed that GP can also stabilize and improve CycleGAN training with word", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 362, + 365, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 365, + 376 + ], + "score": 1.0, + "content": "embeddings. We observed the same benefits in our experiments.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 387, + 505, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "Identity loss In addition to the adversarial loss and the reconstruction loss that we applied to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 398, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 506, + 410 + ], + "score": 1.0, + "content": "generators, we also added identity loss, which was proposed by Zhu et al. (2017) to preserve color", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 410, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 422 + ], + "score": 1.0, + "content": "composition in the original CycleGAN. Empirically, we found out that the identity loss component", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 420, + 464, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 464, + 433 + ], + "score": 1.0, + "content": "helps generators to preserve music content, which yields better audio quality empirically.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5 + }, + { + "type": "interline_equation", + "bbox": [ + 163, + 437, + 437, + 451 + ], + "lines": [ + { + "bbox": [ + 163, + 437, + 437, + 451 + ], + "spans": [ + { + "bbox": [ + 163, + 437, + 437, + 451 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { i d e n t i t y } } ( F , G , \\mathcal { X } , \\mathcal { Y } ) = \\mathbb { E } _ { x \\sim \\mathcal { X } } [ \\| F ( x ) - y \\| _ { 1 } ] + \\mathbb { E } _ { y \\sim \\mathcal { Y } } [ \\| G ( y ) - x \\| _ { 1 } ]", + "type": "interline_equation", + "image_path": "650c98590ee92220698cc8c588386fb04e4e3329c9d34666a908dac28eca9b96.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 163, + 437, + 437, + 451 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 456, + 505, + 502 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "score": 1.0, + "content": "Our weighting of the identity loss followed a linear decay schedule (details in Appendix C.3). In", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 468, + 506, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 481 + ], + "score": 1.0, + "content": "this way, at the start of training, the generator is encouraged to learn a mapping that preserves pitch;", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "score": 1.0, + "content": "as training progresses, the enforcement is reduced, allowing the generator to learn more expressive", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 491, + 151, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 151, + 504 + ], + "score": 1.0, + "content": "mappings.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 106, + 507, + 504, + 529 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "See Appendix C.2, C.3, and C.6 for more details of our CycleGAN architecture, and training and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 519, + 190, + 529 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 190, + 529 + ], + "score": 1.0, + "content": "generation methods.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + }, + { + "type": "title", + "bbox": [ + 108, + 546, + 211, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 545, + 213, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 213, + 561 + ], + "score": 1.0, + "content": "5 RELATED WORK", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 571, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "There is a long history of using clever representations of images or audio signals in order to perform", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 584, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 505, + 595 + ], + "score": 1.0, + "content": "manipulations which are not straightforward on the raw signals. In a seminal work, Tenenbaum and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "Freeman (1999) used a multilinear representation to separate style and content of images. Ulyanov", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "and Lebedev (2016) and Verma and Smith (2018) then applied the optimization technique proposed", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 616, + 506, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 506, + 629 + ], + "score": 1.0, + "content": "by Gatys et al. (2015) to the audio domain by applying the image-based architectures to spectrogram", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 627, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 104, + 627, + 506, + 639 + ], + "score": 1.0, + "content": "representations of the signals. Grinstein et al. (2017) took a similar approach, but used hand-crafted", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "score": 1.0, + "content": "features to extract statistics from the spectrograms. However, a recent review by Dai et al. (2018)", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "score": 1.0, + "content": "pointed out that the disentanglement of timbre and performance control information remains unsolved.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 665, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "score": 1.0, + "content": "Zhu et al. 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In", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 468, + 506, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 481 + ], + "score": 1.0, + "content": "this way, at the start of training, the generator is encouraged to learn a mapping that preserves pitch;", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "score": 1.0, + "content": "as training progresses, the enforcement is reduced, allowing the generator to learn more expressive", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 491, + 151, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 151, + 504 + ], + "score": 1.0, + "content": "mappings.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 456, + 506, + 504 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 507, + 504, + 529 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "See Appendix C.2, C.3, and C.6 for more details of our CycleGAN architecture, and training and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 519, + 190, + 529 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 190, + 529 + ], + "score": 1.0, + "content": "generation methods.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5, + "bbox_fs": [ + 106, + 507, + 505, + 529 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 546, + 211, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 545, + 213, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 213, + 561 + ], + "score": 1.0, + "content": "5 RELATED WORK", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 571, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "There is a long history of using clever representations of images or audio signals in order to perform", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 584, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 584, + 505, + 595 + ], + "score": 1.0, + "content": "manipulations which are not straightforward on the raw signals. 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(2015) to the audio domain by applying the image-based architectures to spectrogram", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 627, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 104, + 627, + 506, + 639 + ], + "score": 1.0, + "content": "representations of the signals. Grinstein et al. (2017) took a similar approach, but used hand-crafted", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "score": 1.0, + "content": "features to extract statistics from the spectrograms. However, a recent review by Dai et al. (2018)", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 660 + ], + "score": 1.0, + "content": "pointed out that the disentanglement of timbre and performance control information remains unsolved.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 571, + 506, + 660 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 665, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "score": 1.0, + "content": "Zhu et al. 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(2016) demonstrated", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "high-quality audio generation using WaveNet. Following on this, Engel et al. (2017) proposed a", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 153, + 507, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 507, + 168 + ], + "score": 1.0, + "content": "WaveNet-style autoencoder model operating on raw waveforms that was capable of creating new,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "realistic timbres by interpolating between already existing ones. Donahue et al. (2018) proposed a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "method to synthesize waveforms directly using GANs with improved quality over naive generative", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "models such as SampleRNN (Mehri et al., 2016) and WaveNet. Mor et al. (2018) used an encoder-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "decoder approach for the Timbre Transfer problem, where they trained a universal encoder to learn", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "score": 1.0, + "content": "a shared representation of raw waveforms of various instruments, as well as instrument-specific", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 220, + 507, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 507, + 232 + ], + "score": 1.0, + "content": "decoders to reconstruct waveforms from the shared representation. In a parallel work, Bitton et al.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 231, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 506, + 244 + ], + "score": 1.0, + "content": "(2018) approached the many-to-many timbre transfer problem with their MoVE model which is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "based on UNIT (Liu et al., 2017) but with Maximum Mean Discrepancy (MMD) as their objective.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "score": 1.0, + "content": "While their approach has the advantage of training a single model for many transfer directions, our", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 262, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 506, + 278 + ], + "score": 1.0, + "content": "TimbreTron model has the advantage that it uses a GAN-based training objective, which (in the image", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 275, + 452, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 452, + 288 + ], + "score": 1.0, + "content": "domain) typically results in outputs with higher perceptual quality compared to VAEs.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 107, + 306, + 200, + 318 + ], + "lines": [ + { + "bbox": [ + 105, + 304, + 201, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 201, + 321 + ], + "score": 1.0, + "content": "6 EXPERIMENTS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 333, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 105, + 333, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 505, + 346 + ], + "score": 1.0, + "content": "We conducted two sets of experiments to 1) experiment with pitch-shifting and tempo-changing to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "further validate our choice of CQT representation; 2) test our full TimbreTron pipeline (along with", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "score": 1.0, + "content": "ablation experiments to validate our architectural choices). See Appendix C for the details of our", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "experimental setup. For this section, please listen to audio samples we provided in our website5 as", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 376, + 171, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 376, + 171, + 392 + ], + "score": 1.0, + "content": "you read along.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21 + }, + { + "type": "title", + "bbox": [ + 107, + 406, + 176, + 417 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 177, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 177, + 419 + ], + "score": 1.0, + "content": "6.1 DATASETS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 505, + 516 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "score": 1.0, + "content": "Training TimbreTron requires collections of unrelated recordings of the source and target instruments.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "We built our own MIDI and real world datasets of classical music for training TimbreTron. Within", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "each type of dataset, we gathered unrelated recordings of Piano, Flute, Violin and Harpsichord and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "then divided the entire dataset into training set and test set. We ensured that the training and test", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 472, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 484 + ], + "score": 1.0, + "content": "sets were entirely disjoint in terms of musical content by splitting the datasets by musical piece.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "The training dataset was divided into 4-second chunks, which were the basic units processed by our", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "CycleGAN and WaveNet. Links to source audio and more details about our dataset are given in", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 505, + 165, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 165, + 517 + ], + "score": 1.0, + "content": "Appendix C.1", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 108, + 533, + 418, + 545 + ], + "lines": [ + { + "bbox": [ + 106, + 532, + 420, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 420, + 547 + ], + "score": 1.0, + "content": "6.2 DISENTANGLING PITCH AND TEMPO USING CQT REPRESENTATION", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 555, + 506, + 698 + ], + "lines": [ + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "score": 1.0, + "content": "Before presenting our timbre transfer results, we first consider the simpler task of disentangling", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "pitch and tempo. Recall that the two properties are entangled in the time domain representation,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 577, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 104, + 577, + 506, + 591 + ], + "score": 1.0, + "content": "e.g. subsampling the waveform simultaneously increases the tempo and raises the pitch. Changing the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "two independently requires more sophisticated analysis of the signal. 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(Since the STFT", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "uses linearly sampled frequencies, it does not lend itself easily to this type of simple transformation.)", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "Audio time stretching can be done using either the CQT or STFT representations, combined with", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 642, + 507, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 507, + 657 + ], + "score": 1.0, + "content": "the WaveNet synthesizer, by changing the number of waveform samples generated per CQT window.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "Regardless of the number of samples generated, the WaveNet synthesizer is able to produce the correct", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "score": 1.0, + "content": "pitch based on the local frequency content. 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(2018) proposed a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "method to synthesize waveforms directly using GANs with improved quality over naive generative", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "models such as SampleRNN (Mehri et al., 2016) and WaveNet. Mor et al. (2018) used an encoder-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "decoder approach for the Timbre Transfer problem, where they trained a universal encoder to learn", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 221 + ], + "score": 1.0, + "content": "a shared representation of raw waveforms of various instruments, as well as instrument-specific", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 220, + 507, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 507, + 232 + ], + "score": 1.0, + "content": "decoders to reconstruct waveforms from the shared representation. In a parallel work, Bitton et al.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 231, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 506, + 244 + ], + "score": 1.0, + "content": "(2018) approached the many-to-many timbre transfer problem with their MoVE model which is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "based on UNIT (Liu et al., 2017) but with Maximum Mean Discrepancy (MMD) as their objective.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "score": 1.0, + "content": "While their approach has the advantage of training a single model for many transfer directions, our", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 262, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 506, + 278 + ], + "score": 1.0, + "content": "TimbreTron model has the advantage that it uses a GAN-based training objective, which (in the image", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 275, + 452, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 452, + 288 + ], + "score": 1.0, + "content": "domain) typically results in outputs with higher perceptual quality compared to VAEs.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 132, + 507, + 288 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 306, + 200, + 318 + ], + "lines": [ + { + "bbox": [ + 105, + 304, + 201, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 201, + 321 + ], + "score": 1.0, + "content": "6 EXPERIMENTS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 333, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 105, + 333, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 505, + 346 + ], + "score": 1.0, + "content": "We conducted two sets of experiments to 1) experiment with pitch-shifting and tempo-changing to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "further validate our choice of CQT representation; 2) test our full TimbreTron pipeline (along with", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "score": 1.0, + "content": "ablation experiments to validate our architectural choices). See Appendix C for the details of our", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "experimental setup. For this section, please listen to audio samples we provided in our website5 as", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 376, + 171, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 376, + 171, + 392 + ], + "score": 1.0, + "content": "you read along.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21, + "bbox_fs": [ + 104, + 333, + 506, + 392 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 406, + 176, + 417 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 177, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 177, + 419 + ], + "score": 1.0, + "content": "6.1 DATASETS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 505, + 516 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "score": 1.0, + "content": "Training TimbreTron requires collections of unrelated recordings of the source and target instruments.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "We built our own MIDI and real world datasets of classical music for training TimbreTron. Within", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "each type of dataset, we gathered unrelated recordings of Piano, Flute, Violin and Harpsichord and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "then divided the entire dataset into training set and test set. We ensured that the training and test", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 472, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 484 + ], + "score": 1.0, + "content": "sets were entirely disjoint in terms of musical content by splitting the datasets by musical piece.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "The training dataset was divided into 4-second chunks, which were the basic units processed by our", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 505, + 506 + ], + "score": 1.0, + "content": "CycleGAN and WaveNet. Links to source audio and more details about our dataset are given in", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 505, + 165, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 165, + 517 + ], + "score": 1.0, + "content": "Appendix C.1", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 428, + 506, + 517 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 533, + 418, + 545 + ], + "lines": [ + { + "bbox": [ + 106, + 532, + 420, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 420, + 547 + ], + "score": 1.0, + "content": "6.2 DISENTANGLING PITCH AND TEMPO USING CQT REPRESENTATION", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 555, + 506, + 698 + ], + "lines": [ + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 569 + ], + "score": 1.0, + "content": "Before presenting our timbre transfer results, we first consider the simpler task of disentangling", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "pitch and tempo. Recall that the two properties are entangled in the time domain representation,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 577, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 104, + 577, + 506, + 591 + ], + "score": 1.0, + "content": "e.g. subsampling the waveform simultaneously increases the tempo and raises the pitch. Changing the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "two independently requires more sophisticated analysis of the signal. In the context of our TimbreTron", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 599, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 506, + 614 + ], + "score": 1.0, + "content": "pipeline, due to the CQT’s pitch equivariance property, pitch shifting can be (approximately)", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 505, + 623 + ], + "score": 1.0, + "content": "performed simply by translating the CQT representation on the log-frequency axis. (Since the STFT", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "uses linearly sampled frequencies, it does not lend itself easily to this type of simple transformation.)", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "Audio time stretching can be done using either the CQT or STFT representations, combined with", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 642, + 507, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 507, + 657 + ], + "score": 1.0, + "content": "the WaveNet synthesizer, by changing the number of waveform samples generated per CQT window.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "Regardless of the number of samples generated, the WaveNet synthesizer is able to produce the correct", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 507, + 679 + ], + "score": 1.0, + "content": "pitch based on the local frequency content. (See section 6.2 of the OneDrive folder) In conclusion,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "our method was able to vary the pitch and tempo independently while otherwise preserving the timbre", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 687, + 196, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 196, + 699 + ], + "score": 1.0, + "content": "and musical structure.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 40, + "bbox_fs": [ + 104, + 554, + 507, + 699 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 277, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 280, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 280, + 95 + ], + "score": 1.0, + "content": "6.3 TIMBRE TRANSFER EXPERIMENTS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 103, + 505, + 158 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 507, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 507, + 117 + ], + "score": 1.0, + "content": "While most of our experiments on timbre transfer are conducted on real world music recordings,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 114, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 505, + 127 + ], + "score": 1.0, + "content": "we also use synthetic MIDI audio data in our ablation studies because it is possible to produce", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 126, + 505, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 137 + ], + "score": 1.0, + "content": "paired dataset for evaluation purpose. In this section, we show our experimental findings on the full", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "score": 1.0, + "content": "TimbreTron pipeline using real world data, verify the correctness of our reasoning about CQT, and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 148, + 309, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 148, + 309, + 160 + ], + "score": 1.0, + "content": "show the generalization capability of TimbreTron.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 172, + 505, + 336 + ], + "lines": [ + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "score": 1.0, + "content": "Comparing CQT and STFT Representations One of the key design choices in TimbreTron", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "score": 1.0, + "content": "was whether to use an STFT or CQT representation. If the STFT representation is used, there is", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 195, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 505, + 206 + ], + "score": 1.0, + "content": "an additional choice of whether to reconstruct using the Griffin-Lim algorithm or the conditional", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 506, + 218 + ], + "score": 1.0, + "content": "WaveNet synthesizer. We found that the STFT-based pipeline had two problems: 1) it sometimes", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 215, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 229 + ], + "score": 1.0, + "content": "failed to correctly transfer low pitches, likely due to the STFT’s poor frequency resolution at low", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "frequencies, and 2) it sometimes produced a random permutation of pitches. For example, we ran", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 505, + 251 + ], + "score": 1.0, + "content": "TimbreTron on a Bach piano sample played by a professional musician. The STFT TimbreTron", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 248, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 506, + 262 + ], + "score": 1.0, + "content": "transposed parts of the longer excerpt by different amounts, and for a few notes in particular, seemed", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 260, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 506, + 272 + ], + "score": 1.0, + "content": "to fail to transpose them by the same amount as it did the others. As is shown by audio samples", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 270, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 104, + 270, + 506, + 284 + ], + "score": 1.0, + "content": "here6, those problems were completely solved using CQT TimbreTron (likely due to the CQT’s pitch", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 281, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 506, + 295 + ], + "score": 1.0, + "content": "equivariance and higher frequency resolution at low frequencies). Both of these artifacts occurred", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "score": 1.0, + "content": "in both WaveNet and Griffin-Lim reconstruction methods (See Table 4), which suggests that the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "score": 1.0, + "content": "source of the artifacts are likely to be from the CycleGAN stage of the pipeline. (Please listen to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "score": 1.0, + "content": "corresponding samples in section 6.3 of the OneDrive folder) This empirically demonstrates the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 326, + 356, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 356, + 338 + ], + "score": 1.0, + "content": "effectiveness of the CQT representation compared with STFT.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 351, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 363 + ], + "score": 1.0, + "content": "Generalizing from MIDI to Real-World Audio To further explore the generalization capability", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 374 + ], + "score": 1.0, + "content": "of TimbreTron, we also tried one domain adaptation experiment where we took a CycleGAN trained", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "score": 1.0, + "content": "on MIDI data, tested it on the real world test dataset, and synthesized audio with Wavenet trained on", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 384, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 395 + ], + "score": 1.0, + "content": "training real world data. As is shown from the corresponding audio examples in this section7, the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 394, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 408 + ], + "score": 1.0, + "content": "quality of generated audio is very good, with pitch preserved and timbre transfered. The ability to", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 405, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 420 + ], + "score": 1.0, + "content": "generalize from MIDI to real-world is interesting, in that it opens up the possibility of training on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 416, + 177, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 177, + 429 + ], + "score": 1.0, + "content": "paired examples.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24 + }, + { + "type": "title", + "bbox": [ + 107, + 442, + 378, + 453 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 379, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 379, + 456 + ], + "score": 1.0, + "content": "6.4 EVALUATION WITH AMAZON MECHANICAL TURK (AMT)", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 518 + ], + "lines": [ + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "score": 1.0, + "content": "We conducted a human study to investigate whether TimbreTron could transfer the timbre of a", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "reference collection of signals while otherwise preserving the musical content. We also evaluated the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "effectiveness of the CQT representation by comparing with a variant of TimbreTron with the CQT", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "replaced by the STFT. All results are showns in Tables 2, 3 and 4, with detailed discussion in this", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 507, + 375, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 375, + 519 + ], + "score": 1.0, + "content": "section. 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We address", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 566, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 505, + 578 + ], + "score": 1.0, + "content": "both of these criteria by two types of comparison-based experiments: instrument similarity and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "musical piece similarity. The questions we asked are listed in Table 1. Table 2 shows results for the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "score": 1.0, + "content": "instrument similarity comparison and Table 3 shows results for the music piece similarity comparison.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "score": 1.0, + "content": "The respondents were also asked to provide their subjective judgment about the instrument used for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 609, + 385, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 385, + 621 + ], + "score": 1.0, + "content": "the provided samples. The original questionnaire can be found here8.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 108, + 626, + 503, + 659 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "(1) Preserving the musical piece. A different instrument playing the same notes may not always", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "sound subjectively like the same “piece”. 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In this section, we show our experimental findings on the full", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "score": 1.0, + "content": "TimbreTron pipeline using real world data, verify the correctness of our reasoning about CQT, and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 148, + 309, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 148, + 309, + 160 + ], + "score": 1.0, + "content": "show the generalization capability of TimbreTron.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 102, + 507, + 160 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 172, + 505, + 336 + ], + "lines": [ + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "score": 1.0, + "content": "Comparing CQT and STFT Representations One of the key design choices in TimbreTron", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 506, + 196 + ], + "score": 1.0, + "content": "was whether to use an STFT or CQT representation. If the STFT representation is used, there is", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 195, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 505, + 206 + ], + "score": 1.0, + "content": "an additional choice of whether to reconstruct using the Griffin-Lim algorithm or the conditional", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 506, + 218 + ], + "score": 1.0, + "content": "WaveNet synthesizer. We found that the STFT-based pipeline had two problems: 1) it sometimes", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 215, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 229 + ], + "score": 1.0, + "content": "failed to correctly transfer low pitches, likely due to the STFT’s poor frequency resolution at low", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "frequencies, and 2) it sometimes produced a random permutation of pitches. For example, we ran", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 237, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 505, + 251 + ], + "score": 1.0, + "content": "TimbreTron on a Bach piano sample played by a professional musician. The STFT TimbreTron", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 248, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 506, + 262 + ], + "score": 1.0, + "content": "transposed parts of the longer excerpt by different amounts, and for a few notes in particular, seemed", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 260, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 506, + 272 + ], + "score": 1.0, + "content": "to fail to transpose them by the same amount as it did the others. As is shown by audio samples", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 270, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 104, + 270, + 506, + 284 + ], + "score": 1.0, + "content": "here6, those problems were completely solved using CQT TimbreTron (likely due to the CQT’s pitch", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 281, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 506, + 295 + ], + "score": 1.0, + "content": "equivariance and higher frequency resolution at low frequencies). Both of these artifacts occurred", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 505, + 306 + ], + "score": 1.0, + "content": "in both WaveNet and Griffin-Lim reconstruction methods (See Table 4), which suggests that the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "score": 1.0, + "content": "source of the artifacts are likely to be from the CycleGAN stage of the pipeline. (Please listen to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "score": 1.0, + "content": "corresponding samples in section 6.3 of the OneDrive folder) This empirically demonstrates the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 326, + 356, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 356, + 338 + ], + "score": 1.0, + "content": "effectiveness of the CQT representation compared with STFT.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 13, + "bbox_fs": [ + 104, + 172, + 506, + 338 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 351, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 363 + ], + "score": 1.0, + "content": "Generalizing from MIDI to Real-World Audio To further explore the generalization capability", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 374 + ], + "score": 1.0, + "content": "of TimbreTron, we also tried one domain adaptation experiment where we took a CycleGAN trained", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 385 + ], + "score": 1.0, + "content": "on MIDI data, tested it on the real world test dataset, and synthesized audio with Wavenet trained on", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 384, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 395 + ], + "score": 1.0, + "content": "training real world data. As is shown from the corresponding audio examples in this section7, the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 394, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 408 + ], + "score": 1.0, + "content": "quality of generated audio is very good, with pitch preserved and timbre transfered. The ability to", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 405, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 420 + ], + "score": 1.0, + "content": "generalize from MIDI to real-world is interesting, in that it opens up the possibility of training on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 416, + 177, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 177, + 429 + ], + "score": 1.0, + "content": "paired examples.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 351, + 506, + 429 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 442, + 378, + 453 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 379, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 379, + 456 + ], + "score": 1.0, + "content": "6.4 EVALUATION WITH AMAZON MECHANICAL TURK (AMT)", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 518 + ], + "lines": [ + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "score": 1.0, + "content": "We conducted a human study to investigate whether TimbreTron could transfer the timbre of a", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "reference collection of signals while otherwise preserving the musical content. We also evaluated the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "effectiveness of the CQT representation by comparing with a variant of TimbreTron with the CQT", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "replaced by the STFT. All results are showns in Tables 2, 3 and 4, with detailed discussion in this", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 507, + 375, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 375, + 519 + ], + "score": 1.0, + "content": "section. A list of questions asked in AMT can be found in Table 1.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 463, + 506, + 519 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 532, + 505, + 621 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 545 + ], + "score": 1.0, + "content": "Does TimbreTron transfer timbre while preserving the musical piece? To be effective, the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 556 + ], + "score": 1.0, + "content": "system must transform a given audio input so that the output is (1) recognizable as the same (or", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 567 + ], + "score": 1.0, + "content": "appropriately similar) basic musical piece, and (2) recognizable as the target instrument. We address", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 566, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 505, + 578 + ], + "score": 1.0, + "content": "both of these criteria by two types of comparison-based experiments: instrument similarity and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "musical piece similarity. The questions we asked are listed in Table 1. Table 2 shows results for the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "score": 1.0, + "content": "instrument similarity comparison and Table 3 shows results for the music piece similarity comparison.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 611 + ], + "score": 1.0, + "content": "The respondents were also asked to provide their subjective judgment about the instrument used for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 609, + 385, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 385, + 621 + ], + "score": 1.0, + "content": "the provided samples. The original questionnaire can be found here8.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 532, + 506, + 621 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 626, + 503, + 659 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "(1) Preserving the musical piece. A different instrument playing the same notes may not always", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "sound subjectively like the same “piece”. When this is done in musical contexts, the notes themselves", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 647, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 662 + ], + "score": 1.0, + "content": "are often changed in order to adapt pieces between instruments, and this is generally referred to as a", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 626, + 506, + 662 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 109, + 81, + 503, + 114 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 109, + 81, + 503, + 114 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 109, + 81, + 503, + 114 + ], + "spans": [ + { + "bbox": [ + 109, + 81, + 503, + 114 + ], + "score": 0.712, + "html": "
Listen to two audio clips: (Embedded link for clip A and clip B)
The clip A and B may be similar in some ways,and different in others. Rate their similarities with the following criteria:
", + "type": "table", + "image_path": "588ca95db06e0cb4d2f5461ab179ebaad6cb0d8a3e1d8e21ddbd5f79f3a1f5a9.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 81, + 503, + 92.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 92.0, + 503, + 103.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 103.0, + 503, + 114.0 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "title", + "bbox": [ + 112, + 117, + 221, + 127 + ], + "lines": [ + { + "bbox": [ + 111, + 115, + 222, + 131 + ], + "spans": [ + { + "bbox": [ + 111, + 115, + 222, + 131 + ], + "score": 1.0, + "content": "(i) Instrument similarity:", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 122, + 128, + 466, + 183 + ], + "lines": [ + { + "bbox": [ + 121, + 127, + 466, + 140 + ], + "spans": [ + { + "bbox": [ + 121, + 127, + 466, + 140 + ], + "score": 1.0, + "content": "(a) Instrument is very similar (e.g. A and B were generated with two different pianos)", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 122, + 138, + 445, + 151 + ], + "spans": [ + { + "bbox": [ + 122, + 138, + 445, + 151 + ], + "score": 1.0, + "content": "(b) Instrument is similar (A and B are in the same family: both wind instrument,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 139, + 150, + 261, + 161 + ], + "spans": [ + { + "bbox": [ + 139, + 150, + 261, + 161 + ], + "score": 1.0, + "content": "or both string instrument, etc)", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 122, + 160, + 228, + 172 + ], + "spans": [ + { + "bbox": [ + 122, + 160, + 228, + 172 + ], + "score": 1.0, + "content": "(c) Instrument is different", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 122, + 171, + 190, + 183 + ], + "spans": [ + { + "bbox": [ + 122, + 171, + 190, + 183 + ], + "score": 1.0, + "content": "(d) I don’t know", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "title", + "bbox": [ + 111, + 184, + 233, + 194 + ], + "lines": [ + { + "bbox": [ + 111, + 181, + 235, + 196 + ], + "spans": [ + { + "bbox": [ + 111, + 181, + 235, + 196 + ], + "score": 1.0, + "content": "(ii) Musical piece similarity:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 115, + 194, + 482, + 270 + ], + "lines": [ + { + "bbox": [ + 121, + 192, + 470, + 206 + ], + "spans": [ + { + "bbox": [ + 121, + 192, + 470, + 206 + ], + "score": 1.0, + "content": "(a) Musical pieces are nearly identical (e.g. A and B are two different performances of", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 138, + 204, + 483, + 218 + ], + "spans": [ + { + "bbox": [ + 138, + 204, + 483, + 218 + ], + "score": 1.0, + "content": "the same piece: perhaps a few notes are different, perhaps timing is slightly different)", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 121, + 215, + 482, + 229 + ], + "spans": [ + { + "bbox": [ + 121, + 215, + 482, + 229 + ], + "score": 1.0, + "content": "(b) Musical pieces are very similar (e.g. A and B are different versions of the same piece,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 138, + 226, + 271, + 239 + ], + "spans": [ + { + "bbox": [ + 138, + 226, + 271, + 239 + ], + "score": 1.0, + "content": "e.g. two different arrangements)", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 121, + 237, + 447, + 250 + ], + "spans": [ + { + "bbox": [ + 121, + 237, + 447, + 250 + ], + "score": 1.0, + "content": "(c) Musical pieces are related (e.g. A and B are two different, but related, pieces)", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 122, + 248, + 311, + 260 + ], + "spans": [ + { + "bbox": [ + 122, + 248, + 311, + 260 + ], + "score": 1.0, + "content": "(d) Entirely different (unrelated) musical piece", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 122, + 259, + 189, + 272 + ], + "spans": [ + { + "bbox": [ + 122, + 259, + 189, + 272 + ], + "score": 1.0, + "content": "(e) I don’t know", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13 + }, + { + "type": "table", + "bbox": [ + 106, + 271, + 500, + 295 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 271, + 500, + 295 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 271, + 500, + 295 + ], + "spans": [ + { + "bbox": [ + 113, + 271, + 500, + 295 + ], + "score": 0.172, + "html": "
(iii) What instrument did clip A primarily sound like to you?
(iv) What instrument did clip B primarily sound like to you?
", + "type": "table", + "image_path": "b196faa01a4f8f12c96ad25ed5a68594082cb3925703f32514f0eb139f5fce21.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 106, + 271, + 500, + 295 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 302, + 505, + 336 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 301, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 104, + 301, + 505, + 315 + ], + "score": 1.0, + "content": "Table 1: The exact question format that was used in the AMT studies. For part (i) and (ii), participants", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "were asked to choose one answer among the options. For part (iii) and (iv), a text box was provided", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 324, + 268, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 268, + 337 + ], + "score": 1.0, + "content": "for participants to type in their answers.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + } + ], + "index": 18.0 + }, + { + "type": "table", + "bbox": [ + 106, + 354, + 505, + 426 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 354, + 505, + 426 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 354, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 505, + 426 + ], + "score": 0.971, + "html": "
TotalSamplesAnswerAudio SampleVerySimilarSimilarDifferentDo not know
200Target Instrument & TimbreTronGeneration31.2%40.5%28.0%0.5%
100Original Instrument &Tim+breTron Generation23.0%21.0%56.0%0.0%
", + "type": "table", + "image_path": "fd1942a5fb6327a5b8a66207cea9b6c2e1d89925b67093cccfa7f1f4346c11ab.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 106, + 354, + 505, + 378.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 106, + 378.0, + 505, + 402.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 106, + 402.0, + 505, + 426.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 434, + 506, + 467 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 433, + 504, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 504, + 446 + ], + "score": 1.0, + "content": "Table 2: AMT results on pair-wise instrument comparisons between our proposed TimbreTron", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "without beam search, ground truth original instrument and ground truth target instrument. This", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 280, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 280, + 467 + ], + "score": 1.0, + "content": "corresponds to question type (i) in Table 1.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 106, + 495, + 505, + 573 + ], + "lines": [ + { + "bbox": [ + 105, + 495, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 509 + ], + "score": 1.0, + "content": "new “arrangement” of an existing piece. Thus, even in the cases where we had a recording available", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 104, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "in the target domain, the exact notes or timings were not always identical to those in the original", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "recording from which we transferred. Overall, when we did have such a target domain recording of a", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "real instrument, we found that for the pair of (Real Target Instrument, TimbreTron Generated Target", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 157, + 552 + ], + "score": 1.0, + "content": "Instrument),", + "type": "text" + }, + { + "bbox": [ + 158, + 540, + 185, + 550 + ], + "score": 0.86, + "content": "6 7 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "of responses considered the musical pieces to be nearly identical or very similar,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 164, + 562 + ], + "score": 1.0, + "content": "while roughly", + "type": "text" + }, + { + "bbox": [ + 164, + 550, + 191, + 561 + ], + "score": 0.86, + "content": "2 2 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 551, + 307, + 562 + ], + "score": 1.0, + "content": "considered them related and", + "type": "text" + }, + { + "bbox": [ + 308, + 550, + 327, + 561 + ], + "score": 0.87, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 551, + 505, + 562 + ], + "score": 1.0, + "content": "considered them different. (Details in Table", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 405, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 405, + 573 + ], + "score": 1.0, + "content": "3.) Thus, it appears that generally the musical piece was indeed preserved.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 578, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "(2) Transferring the timbre. Evaluating this is challenging because, if the transfer is not perfect", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 589, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 506, + 602 + ], + "score": 1.0, + "content": "(which it is not), then judging similarity of not-quite-identical instruments is fraught with perceptual", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "challenges. With this in mind, we included a range of pairwise comparisons and gave a likert scale", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "score": 1.0, + "content": "with various anchors. Overall, we found that for the pair (Ground Truth Target audio, TimbreTron", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 213, + 634 + ], + "score": 1.0, + "content": "Generated audio), roughly", + "type": "text" + }, + { + "bbox": [ + 213, + 622, + 241, + 632 + ], + "score": 0.87, + "content": "7 1 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "of responses considered the instrument generating the audio to be", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "very similar (e.g. still piano, but a different piano) or similar (e.g. another string instrument). (More", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "score": 1.0, + "content": "details in Table 2.) We also asked participants to identify the instrument that they heard in some of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "the audio excerpts, with an open-ended question. Generally we found that participants were indeed", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "able to either identify the correct instrument, or confused with a very similar-sounding instrument.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "For example, one participant described a generated harpsichord as a banjo, which is in fact very close", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "to harpsichord in terms of timbre. As a reference, participants had similar reasonable confusions", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "about identifying ground truth instruments as well (e.g., one participant described a real harpsichord", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "score": 1.0, + "content": "as being a sitar). Based on perceptual evaluations above, we claim that TimbreTron is able to transfer", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 721, + 340, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 340, + 732 + ], + "score": 1.0, + "content": "timbre recognizably while preserving the musical content.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 40.5 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 109, + 81, + 503, + 114 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 109, + 81, + 503, + 114 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 109, + 81, + 503, + 114 + ], + "spans": [ + { + "bbox": [ + 109, + 81, + 503, + 114 + ], + "score": 0.712, + "html": "
Listen to two audio clips: (Embedded link for clip A and clip B)
The clip A and B may be similar in some ways,and different in others. Rate their similarities with the following criteria:
", + "type": "table", + "image_path": "588ca95db06e0cb4d2f5461ab179ebaad6cb0d8a3e1d8e21ddbd5f79f3a1f5a9.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 81, + 503, + 92.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 92.0, + 503, + 103.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 103.0, + 503, + 114.0 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "title", + "bbox": [ + 112, + 117, + 221, + 127 + ], + "lines": [ + { + "bbox": [ + 111, + 115, + 222, + 131 + ], + "spans": [ + { + "bbox": [ + 111, + 115, + 222, + 131 + ], + "score": 1.0, + "content": "(i) Instrument similarity:", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "list", + "bbox": [ + 122, + 128, + 466, + 183 + ], + "lines": [ + { + "bbox": [ + 121, + 127, + 466, + 140 + ], + "spans": [ + { + "bbox": [ + 121, + 127, + 466, + 140 + ], + "score": 1.0, + "content": "(a) Instrument is very similar (e.g. A and B were generated with two different pianos)", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 122, + 138, + 445, + 151 + ], + "spans": [ + { + "bbox": [ + 122, + 138, + 445, + 151 + ], + "score": 1.0, + "content": "(b) Instrument is similar (A and B are in the same family: both wind instrument,", + "type": "text" + } + ], + "index": 5, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 139, + 150, + 261, + 161 + ], + "spans": [ + { + "bbox": [ + 139, + 150, + 261, + 161 + ], + "score": 1.0, + "content": "or both string instrument, etc)", + "type": "text" + } + ], + "index": 6, + "is_list_end_line": true + }, + { + "bbox": [ + 122, + 160, + 228, + 172 + ], + "spans": [ + { + "bbox": [ + 122, + 160, + 228, + 172 + ], + "score": 1.0, + "content": "(c) Instrument is different", + "type": "text" + } + ], + "index": 7, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 122, + 171, + 190, + 183 + ], + "spans": [ + { + "bbox": [ + 122, + 171, + 190, + 183 + ], + "score": 1.0, + "content": "(d) I don’t know", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 6, + "bbox_fs": [ + 121, + 127, + 466, + 183 + ] + }, + { + "type": "title", + "bbox": [ + 111, + 184, + 233, + 194 + ], + "lines": [ + { + "bbox": [ + 111, + 181, + 235, + 196 + ], + "spans": [ + { + "bbox": [ + 111, + 181, + 235, + 196 + ], + "score": 1.0, + "content": "(ii) Musical piece similarity:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "list", + "bbox": [ + 115, + 194, + 482, + 270 + ], + "lines": [ + { + "bbox": [ + 121, + 192, + 470, + 206 + ], + "spans": [ + { + "bbox": [ + 121, + 192, + 470, + 206 + ], + "score": 1.0, + "content": "(a) Musical pieces are nearly identical (e.g. A and B are two different performances of", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 138, + 204, + 483, + 218 + ], + "spans": [ + { + "bbox": [ + 138, + 204, + 483, + 218 + ], + "score": 1.0, + "content": "the same piece: perhaps a few notes are different, perhaps timing is slightly different)", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 121, + 215, + 482, + 229 + ], + "spans": [ + { + "bbox": [ + 121, + 215, + 482, + 229 + ], + "score": 1.0, + "content": "(b) Musical pieces are very similar (e.g. A and B are different versions of the same piece,", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 138, + 226, + 271, + 239 + ], + "spans": [ + { + "bbox": [ + 138, + 226, + 271, + 239 + ], + "score": 1.0, + "content": "e.g. two different arrangements)", + "type": "text" + } + ], + "index": 13, + "is_list_end_line": true + }, + { + "bbox": [ + 121, + 237, + 447, + 250 + ], + "spans": [ + { + "bbox": [ + 121, + 237, + 447, + 250 + ], + "score": 1.0, + "content": "(c) Musical pieces are related (e.g. A and B are two different, but related, pieces)", + "type": "text" + } + ], + "index": 14, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 122, + 248, + 311, + 260 + ], + "spans": [ + { + "bbox": [ + 122, + 248, + 311, + 260 + ], + "score": 1.0, + "content": "(d) Entirely different (unrelated) musical piece", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 122, + 259, + 189, + 272 + ], + "spans": [ + { + "bbox": [ + 122, + 259, + 189, + 272 + ], + "score": 1.0, + "content": "(e) I don’t know", + "type": "text" + } + ], + "index": 16, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 13, + "bbox_fs": [ + 121, + 192, + 483, + 272 + ] + }, + { + "type": "table", + "bbox": [ + 106, + 271, + 500, + 295 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 271, + 500, + 295 + ], + "group_id": 0, + "lines": [ + 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(iii) What instrument did clip A primarily sound like to you?
(iv) What instrument did clip B primarily sound like to you?
", + "type": "table", + "image_path": "b196faa01a4f8f12c96ad25ed5a68594082cb3925703f32514f0eb139f5fce21.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 106, + 271, + 500, + 295 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 302, + 505, + 336 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 301, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 104, + 301, + 505, + 315 + ], + "score": 1.0, + "content": "Table 1: The exact question format that was used in the AMT studies. For part (i) and (ii), participants", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "were asked to choose one answer among the options. For part (iii) and (iv), a text box was provided", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 324, + 268, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 268, + 337 + ], + "score": 1.0, + "content": "for participants to type in their answers.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + } + ], + "index": 18.0 + }, + { + "type": "table", + "bbox": [ + 106, + 354, + 505, + 426 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 354, + 505, + 426 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 354, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 505, + 426 + ], + "score": 0.971, + "html": "
TotalSamplesAnswerAudio SampleVerySimilarSimilarDifferentDo not know
200Target Instrument & TimbreTronGeneration31.2%40.5%28.0%0.5%
100Original Instrument &Tim+breTron Generation23.0%21.0%56.0%0.0%
", + "type": "table", + "image_path": "fd1942a5fb6327a5b8a66207cea9b6c2e1d89925b67093cccfa7f1f4346c11ab.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 106, + 354, + 505, + 378.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 106, + 378.0, + 505, + 402.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 106, + 402.0, + 505, + 426.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 434, + 506, + 467 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 433, + 504, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 504, + 446 + ], + "score": 1.0, + "content": "Table 2: AMT results on pair-wise instrument comparisons between our proposed TimbreTron", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "without beam search, ground truth original instrument and ground truth target instrument. This", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 280, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 280, + 467 + ], + "score": 1.0, + "content": "corresponds to question type (i) in Table 1.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 106, + 495, + 505, + 573 + ], + "lines": [ + { + "bbox": [ + 105, + 495, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 509 + ], + "score": 1.0, + "content": "new “arrangement” of an existing piece. Thus, even in the cases where we had a recording available", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 104, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "in the target domain, the exact notes or timings were not always identical to those in the original", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "recording from which we transferred. Overall, when we did have such a target domain recording of a", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "real instrument, we found that for the pair of (Real Target Instrument, TimbreTron Generated Target", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 157, + 552 + ], + "score": 1.0, + "content": "Instrument),", + "type": "text" + }, + { + "bbox": [ + 158, + 540, + 185, + 550 + ], + "score": 0.86, + "content": "6 7 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "of responses considered the musical pieces to be nearly identical or very similar,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 164, + 562 + ], + "score": 1.0, + "content": "while roughly", + "type": "text" + }, + { + "bbox": [ + 164, + 550, + 191, + 561 + ], + "score": 0.86, + "content": "2 2 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 551, + 307, + 562 + ], + "score": 1.0, + "content": "considered them related and", + "type": "text" + }, + { + "bbox": [ + 308, + 550, + 327, + 561 + ], + "score": 0.87, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 551, + 505, + 562 + ], + "score": 1.0, + "content": "considered them different. (Details in Table", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 405, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 405, + 573 + ], + "score": 1.0, + "content": "3.) Thus, it appears that generally the musical piece was indeed preserved.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30, + "bbox_fs": [ + 104, + 495, + 506, + 573 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 578, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "(2) Transferring the timbre. Evaluating this is challenging because, if the transfer is not perfect", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 589, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 506, + 602 + ], + "score": 1.0, + "content": "(which it is not), then judging similarity of not-quite-identical instruments is fraught with perceptual", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "challenges. With this in mind, we included a range of pairwise comparisons and gave a likert scale", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "score": 1.0, + "content": "with various anchors. Overall, we found that for the pair (Ground Truth Target audio, TimbreTron", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 213, + 634 + ], + "score": 1.0, + "content": "Generated audio), roughly", + "type": "text" + }, + { + "bbox": [ + 213, + 622, + 241, + 632 + ], + "score": 0.87, + "content": "7 1 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "of responses considered the instrument generating the audio to be", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "very similar (e.g. still piano, but a different piano) or similar (e.g. another string instrument). (More", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "score": 1.0, + "content": "details in Table 2.) We also asked participants to identify the instrument that they heard in some of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "the audio excerpts, with an open-ended question. Generally we found that participants were indeed", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "able to either identify the correct instrument, or confused with a very similar-sounding instrument.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "For example, one participant described a generated harpsichord as a banjo, which is in fact very close", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "to harpsichord in terms of timbre. As a reference, participants had similar reasonable confusions", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "about identifying ground truth instruments as well (e.g., one participant described a real harpsichord", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 721 + ], + "score": 1.0, + "content": "as being a sitar). Based on perceptual evaluations above, we claim that TimbreTron is able to transfer", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 721, + 340, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 340, + 732 + ], + "score": 1.0, + "content": "timbre recognizably while preserving the musical content.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 578, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 80, + 505, + 152 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 80, + 505, + 152 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 505, + 152 + ], + "score": 0.978, + "html": "
TotalSamplesAnswer ArchitectureNearlyIdenticalVerySimilarRelatedEntirelyDifferentDo notknow
200TargetInstrument&Tim+breTronGeneration29.5%38.0%22.5%10.0%0.0%
100OriginalInstrument&Tim+breTron Generation32.0%21.0%25.0%22.0%0.0%
", + "type": "table", + "image_path": "41371be6b193eb7d6fb3c03ca64ee56a0036d7ca4387870175f5e01b7f578c32.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 80, + 505, + 104.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 104.0, + 505, + 128.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 128.0, + 505, + 152.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 159, + 506, + 192 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 158, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 505, + 172 + ], + "score": 1.0, + "content": "Table 3: AMT results on pair-wise musical piece comparisons between our proposed TimbreTron", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 170, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 505, + 182 + ], + "score": 1.0, + "content": "without beam search, ground truth original instrument and ground truth target instrument. This", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 181, + 283, + 193 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 283, + 193 + ], + "score": 1.0, + "content": "corresponds to question type (ii) in Table 1.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "table", + "bbox": [ + 106, + 204, + 301, + 235 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 204, + 301, + 235 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 204, + 301, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 301, + 235 + ], + "score": 0.966, + "html": "
Total SamplesAnswer Audio SampleCQTsameSTFT
400STFT+WaveNetcounterpart54.5%23.5%22.0%
400STFT+Griffinlimcounterpart55.0%25.2%19.8%
", + "type": "table", + "image_path": "bbc4130d241fb032b73b300d307ab4c980870ea9128731e899ab48acaad1b118.jpg" + } + ] + } + ], + "index": 6.5, + "virtual_lines": [ + { + "bbox": [ + 106, + 204, + 301, + 219.5 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 106, + 219.5, + 301, + 235.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 309, + 203, + 510, + 280 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 308, + 202, + 512, + 216 + ], + "spans": [ + { + "bbox": [ + 308, + 202, + 512, + 216 + ], + "score": 1.0, + "content": "Table 4: AMT results on timbre quality compar-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 308, + 214, + 512, + 226 + ], + "spans": [ + { + "bbox": [ + 308, + 214, + 512, + 226 + ], + "score": 1.0, + "content": "isons between our proposed TimbreTron, Tim-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 309, + 225, + 511, + 236 + ], + "spans": [ + { + "bbox": [ + 309, + 225, + 511, + 236 + ], + "score": 1.0, + "content": "breTron but with STFT Wavenet and TimbreTron", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 308, + 235, + 512, + 248 + ], + "spans": [ + { + "bbox": [ + 308, + 235, + 512, + 248 + ], + "score": 1.0, + "content": "with STFT Griffin-Lim. Participants are asked:", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 309, + 247, + 510, + 258 + ], + "spans": [ + { + "bbox": [ + 309, + 247, + 510, + 258 + ], + "score": 1.0, + "content": "which one of the following two samples sounds", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 308, + 257, + 512, + 270 + ], + "spans": [ + { + "bbox": [ + 308, + 257, + 512, + 270 + ], + "score": 1.0, + "content": "more like the instrument provided in the target in-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 308, + 269, + 382, + 281 + ], + "spans": [ + { + "bbox": [ + 308, + 269, + 382, + 281 + ], + "score": 1.0, + "content": "strument sample?", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11 + } + ], + "index": 8.75 + }, + { + "type": "text", + "bbox": [ + 106, + 302, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 301, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 316 + ], + "score": 1.0, + "content": "Comparing CQT vs. STFT To empirically test if our proposed TimbreTron with CQT representa-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 313, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 505, + 325 + ], + "score": 1.0, + "content": "tion is better than its STFT-Wavenet counterpart, or its STFT-GriffinLim counterpart, we conducted", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 322, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 506, + 338 + ], + "score": 1.0, + "content": "a human study using AMT. The original questionnaire can be found here9 In the questionnaire, we", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "score": 1.0, + "content": "asked Turkers to listen to three audio clips: the original audio from instrument A (the “instrument", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 346, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 506, + 358 + ], + "score": 1.0, + "content": "example”), the TimbreTron generated audio of instrument A, and its STFT conterparts, then asked", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 358, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 506, + 369 + ], + "score": 1.0, + "content": "them: “In your opinion, which one of A and B sounds more like the instrument provided in ‘instru-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "score": 1.0, + "content": "ment example”’? , where A and B in the questions are the generated samples (presented in random", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 379, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 505, + 391 + ], + "score": 1.0, + "content": "order). Naturally, sounding closer to the “instrument sample” means the timbre quality is better. We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 390, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 402 + ], + "score": 1.0, + "content": "conducted two groups of experiment. In the first group, the STFT counterpart is the Wavenet and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 401, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 505, + 413 + ], + "score": 1.0, + "content": "CycleGAN trained on STFT representation and the result is in first row of the Table 4: most people", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "score": 1.0, + "content": "think the CQT TimbreTron is better. 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Figure 4 demonstrates the necessity of each modification for the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 557, + 203, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 203, + 570 + ], + "score": 1.0, + "content": "success of TimbreTron.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34 + }, + { + "type": "title", + "bbox": [ + 108, + 586, + 195, + 599 + ], + "lines": [ + { + "bbox": [ + 104, + 584, + 198, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 584, + 198, + 603 + ], + "score": 1.0, + "content": "7 CONCLUSION", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 506, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 612, + 507, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 507, + 626 + ], + "score": 1.0, + "content": "We presented the TimbreTron, a pipeline for perfoming high-quality timbre transfer on musical wave-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "forms using CQT-domain style transfer. 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The original questionnaire can be found here9 In the questionnaire, we", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 506, + 347 + ], + "score": 1.0, + "content": "asked Turkers to listen to three audio clips: the original audio from instrument A (the “instrument", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 346, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 506, + 358 + ], + "score": 1.0, + "content": "example”), the TimbreTron generated audio of instrument A, and its STFT conterparts, then asked", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 358, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 506, + 369 + ], + "score": 1.0, + "content": "them: “In your opinion, which one of A and B sounds more like the instrument provided in ‘instru-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "score": 1.0, + "content": "ment example”’? , where A and B in the questions are the generated samples (presented in random", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 379, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 505, + 391 + ], + "score": 1.0, + "content": "order). 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In the second group, we took the same CycleGAN trained", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 423, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 435 + ], + "score": 1.0, + "content": "on STFT, but instead simply generated the waveform using Griffin-Lim algorithm. The results are", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 433, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 446 + ], + "score": 1.0, + "content": "in the second row: Even more people think CQT TimbreTron is better. 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Figure 4 demonstrates the necessity of each modification for the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 557, + 203, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 203, + 570 + ], + "score": 1.0, + "content": "success of TimbreTron.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 513, + 505, + 570 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 586, + 195, + 599 + ], + "lines": [ + { + "bbox": [ + 104, + 584, + 198, + 603 + ], + "spans": [ + { + "bbox": [ + 104, + 584, + 198, + 603 + ], + "score": 1.0, + "content": "7 CONCLUSION", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 506, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 612, + 507, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 507, + 626 + ], + "score": 1.0, + "content": "We presented the TimbreTron, a pipeline for perfoming high-quality timbre transfer on musical wave-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "forms using CQT-domain style transfer. 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The entire pipeline can be trained on unrelated real-world music", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "segments, and intriguingly, the MIDI-trained CycleGAN demonstrated generalization capability to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "real-world musical signals. Based on an AMT study, we confirmed that TimbreTron recognizably", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "score": 1.0, + "content": "transferred the timbre while otherwise preserving the musical content, for both monophonic and poly-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 418, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 505, + 430 + ], + "score": 1.0, + "content": "phonic samples. 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URL http://", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 116, + 145, + 265, + 156 + ], + "spans": [ + { + "bbox": [ + 116, + 145, + 265, + 156 + ], + "score": 1.0, + "content": "arxiv.org/abs/1703.10593.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3 + }, + { + "type": "title", + "bbox": [ + 108, + 176, + 313, + 189 + ], + "lines": [ + { + "bbox": [ + 105, + 176, + 314, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 314, + 191 + ], + "score": 1.0, + "content": "A COMPONENTS OF A MUSICAL TONE", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 205, + 504, + 227 + ], + "lines": [ + { + "bbox": [ + 106, + 205, + 504, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 504, + 217 + ], + "score": 1.0, + "content": "In this section, we will briefly describe the main components of a musical tone: pitch, loudness and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 216, + 208, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 208, + 228 + ], + "score": 1.0, + "content": "timbre (Roederer, 2008).", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 232, + 505, + 277 + ], + "lines": [ + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "score": 1.0, + "content": "Pitch is described subjectively as the “height” of a musical tone, and is closely tied to the fundamental", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 244, + 506, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 506, + 256 + ], + "score": 1.0, + "content": "mode of oscillation of the instrument that is producing the tone. This oscillation mode is often called", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 254, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 505, + 268 + ], + "score": 1.0, + "content": "the fundamental frequency, and can often be observed as the lowest band in spectrogram visualizations", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 266, + 151, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 151, + 278 + ], + "score": 1.0, + "content": "(Figure 3).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 283, + 505, + 316 + ], + "lines": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "Loudness is linked to the perception of sound pressure, and is often subjectively described as the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 293, + 507, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 507, + 307 + ], + "score": 1.0, + "content": "“intensity” of the tone. It roughly correlates with the amplitude of the waveform of the perceived tone,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 305, + 307, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 307, + 317 + ], + "score": 1.0, + "content": "and has a weak dependence to pitch (Hass, 2018).", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 322, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "Timbre is the perceptual quality of a musical tone that enables us to distinguish between different", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "score": 1.0, + "content": "instruments and sound sources with the same pitch and loudness (Roederer, 2008). The physical char-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "score": 1.0, + "content": "acteristics that define the timbre of a tone are its energy spectrum (the magnitude of the corresponding", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 355, + 230, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 355, + 230, + 367 + ], + "score": 1.0, + "content": "spectrogram) and its envelope.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 106, + 371, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "Since sounds generated by physical instruments mostly rely on oscillations of physical material, the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 381, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 396 + ], + "score": 1.0, + "content": "energy spectra of instruments consist of bands, which correspond to (approximately) the integer", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "score": 1.0, + "content": "multiples of the fundamental frequency. These multiples are called harmonics, or overtones, and can", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "score": 1.0, + "content": "be observed in Figure 3. The timbre of an instrument is tightly related to the relative strengths of the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "harmonics. The spectral signature of an instrument not only depends on the pitch of the tone played,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "score": 1.0, + "content": "but also changes over time. To see this clearly, consider that a single piano note of duration 500", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "milliseconds is played in reverse - the resultant sound will not be recognizable as a piano, although", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "score": 1.0, + "content": "it will have the same spectral energy. The envelope of a tone corresponds to how the instantaneous", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 459, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 471 + ], + "score": 1.0, + "content": "amplitude changes over time, and is mainly affected by the instrument’s attack time (the transient", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 104, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "“noise” created by the instrument when it is first played), decay/sustain (how the amplitude decreases", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 479, + 507, + 495 + ], + "spans": [ + { + "bbox": [ + 104, + 479, + 507, + 495 + ], + "score": 1.0, + "content": "over time, or can be sustained by the player of the instrument) and release (the very end of the tone,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "following the time the player “releases” the note). All these factors add to the complexity and richness", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 502, + 414, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 414, + 516 + ], + "score": 1.0, + "content": "of an instrument’s sound, while also making it difficult to model it explicitly.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 108, + 536, + 322, + 548 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 324, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 324, + 551 + ], + "score": 1.0, + "content": "B SPECTROGRAM PROCESSING DETAILS", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 564, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "Waveform to CQT Spectrogram Using constant-Q transform as described in Section 2.1, CQT", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "score": 1.0, + "content": "spectrogram can be easily computed from time-domain waveforms. In this work, we use a 16", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 586, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 260, + 598 + ], + "score": 1.0, + "content": "ms frame hop (256 time steps under", + "type": "text" + }, + { + "bbox": [ + 261, + 586, + 290, + 597 + ], + "score": 0.34, + "content": "1 6 \\mathrm { k H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 586, + 297, + 598 + ], + "score": 1.0, + "content": "),", + "type": "text" + }, + { + "bbox": [ + 297, + 586, + 363, + 597 + ], + "score": 0.91, + "content": "\\omega _ { 0 } = 3 2 . 7 0 \\ \\mathrm { H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 586, + 438, + 598 + ], + "score": 1.0, + "content": "(the frequency of", + "type": "text" + }, + { + "bbox": [ + 439, + 586, + 463, + 597 + ], + "score": 0.46, + "content": "\\mathrm { C 1 ~ } ^ { 1 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 586, + 470, + 598 + ], + "score": 1.0, + "content": "),", + "type": "text" + }, + { + "bbox": [ + 471, + 586, + 502, + 597 + ], + "score": 0.88, + "content": "b = 4 8", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 586, + 506, + 598 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 597, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 158, + 609 + ], + "score": 0.9, + "content": "k _ { m a x } = 3 3 6", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 597, + 506, + 610 + ], + "score": 1.0, + "content": "for the CQT transform. Standard implementations of CQT (e.g., librosa (librosa)) also", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 268, + 621 + ], + "score": 1.0, + "content": "allow scaling the Q values by a constant", + "type": "text" + }, + { + "bbox": [ + 269, + 609, + 294, + 619 + ], + "score": 0.92, + "content": "\\gamma > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 607, + 506, + 621 + ], + "score": 1.0, + "content": "to have finer control over time resolution - choosing", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 619, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 148, + 631 + ], + "score": 0.93, + "content": "\\gamma \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 619, + 426, + 631 + ], + "score": 1.0, + "content": "results in increased time resolution. In our experiments, we choose", + "type": "text" + }, + { + "bbox": [ + 426, + 619, + 461, + 631 + ], + "score": 0.9, + "content": "\\gamma = 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 619, + 506, + 631 + ], + "score": 1.0, + "content": ". After the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 630, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 506, + 643 + ], + "score": 1.0, + "content": "transformation, we take the log magnitude of the CQT spectrogram as the spectrogram representation.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 108, + 659, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "score": 1.0, + "content": "Waveform to STFT Spectrogram All the STFT spectrograms are generated using STFT with", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 669, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 107, + 670, + 158, + 681 + ], + "score": 0.89, + "content": "k _ { m a x } = 3 3 7", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 669, + 506, + 684 + ], + "score": 1.0, + "content": ". The window function is picked to be Hann Window with a window length of 672. A", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 132, + 691 + ], + "score": 0.35, + "content": "1 6 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 681, + 505, + 693 + ], + "score": 1.0, + "content": "frame hop is also used (256 time steps under 16kHz). Similar to CQT spectrogram, we also", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 692, + 503, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 503, + 705 + ], + "score": 1.0, + "content": "take the log magnitude of the STFT spectrogram as the spectrogram representation after the STFT.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 115, + 721, + 419, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 717, + 420, + 735 + ], + "spans": [ + { + "bbox": [ + 118, + 720, + 135, + 731 + ], + "score": 0.45, + "content": "^ { 1 0 } { \\mathrm { C 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 717, + 420, + 735 + ], + "score": 1.0, + "content": "refers to the “C1” key, corresponding to the lowest “C” on the piano keyboard.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "Zili Yi, Hao Zhang, Ping Tan Gong, et al. DualGAN: Unsupervised dual learning for image-to-image", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 116, + 93, + 327, + 106 + ], + "spans": [ + { + "bbox": [ + 116, + 93, + 327, + 106 + ], + "score": 1.0, + "content": "translation. arXiv preprint arXiv:1704.02510, 2017.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 505, + 106 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 122, + 504, + 155 + ], + "lines": [ + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 505, + 134 + ], + "score": 1.0, + "content": "Jun-Yan Zhu, Taesung Park, Phillip Isola, and Alexei A. Efros. Unpaired image-to-image translation", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 115, + 132, + 506, + 146 + ], + "spans": [ + { + "bbox": [ + 115, + 132, + 506, + 146 + ], + "score": 1.0, + "content": "using cycle-consistent adversarial networks. CoRR, abs/1703.10593, 2017. URL http://", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 116, + 145, + 265, + 156 + ], + "spans": [ + { + "bbox": [ + 116, + 145, + 265, + 156 + ], + "score": 1.0, + "content": "arxiv.org/abs/1703.10593.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 122, + 506, + 156 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 176, + 313, + 189 + ], + "lines": [ + { + "bbox": [ + 105, + 176, + 314, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 314, + 191 + ], + "score": 1.0, + "content": "A COMPONENTS OF A MUSICAL TONE", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 205, + 504, + 227 + ], + "lines": [ + { + "bbox": [ + 106, + 205, + 504, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 504, + 217 + ], + "score": 1.0, + "content": "In this section, we will briefly describe the main components of a musical tone: pitch, loudness and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 216, + 208, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 208, + 228 + ], + "score": 1.0, + "content": "timbre (Roederer, 2008).", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5, + "bbox_fs": [ + 106, + 205, + 504, + 228 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 232, + 505, + 277 + ], + "lines": [ + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 505, + 245 + ], + "score": 1.0, + "content": "Pitch is described subjectively as the “height” of a musical tone, and is closely tied to the fundamental", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 244, + 506, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 506, + 256 + ], + "score": 1.0, + "content": "mode of oscillation of the instrument that is producing the tone. This oscillation mode is often called", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 254, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 505, + 268 + ], + "score": 1.0, + "content": "the fundamental frequency, and can often be observed as the lowest band in spectrogram visualizations", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 266, + 151, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 151, + 278 + ], + "score": 1.0, + "content": "(Figure 3).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 232, + 506, + 278 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 283, + 505, + 316 + ], + "lines": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "Loudness is linked to the perception of sound pressure, and is often subjectively described as the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 293, + 507, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 507, + 307 + ], + "score": 1.0, + "content": "“intensity” of the tone. It roughly correlates with the amplitude of the waveform of the perceived tone,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 305, + 307, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 307, + 317 + ], + "score": 1.0, + "content": "and has a weak dependence to pitch (Hass, 2018).", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 282, + 507, + 317 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 322, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "Timbre is the perceptual quality of a musical tone that enables us to distinguish between different", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "score": 1.0, + "content": "instruments and sound sources with the same pitch and loudness (Roederer, 2008). The physical char-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "score": 1.0, + "content": "acteristics that define the timbre of a tone are its energy spectrum (the magnitude of the corresponding", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 355, + 230, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 355, + 230, + 367 + ], + "score": 1.0, + "content": "spectrogram) and its envelope.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 322, + 506, + 367 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 371, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "Since sounds generated by physical instruments mostly rely on oscillations of physical material, the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 381, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 396 + ], + "score": 1.0, + "content": "energy spectra of instruments consist of bands, which correspond to (approximately) the integer", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "score": 1.0, + "content": "multiples of the fundamental frequency. These multiples are called harmonics, or overtones, and can", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "score": 1.0, + "content": "be observed in Figure 3. The timbre of an instrument is tightly related to the relative strengths of the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "harmonics. The spectral signature of an instrument not only depends on the pitch of the tone played,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "score": 1.0, + "content": "but also changes over time. To see this clearly, consider that a single piano note of duration 500", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "milliseconds is played in reverse - the resultant sound will not be recognizable as a piano, although", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "score": 1.0, + "content": "it will have the same spectral energy. The envelope of a tone corresponds to how the instantaneous", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 459, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 471 + ], + "score": 1.0, + "content": "amplitude changes over time, and is mainly affected by the instrument’s attack time (the transient", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 104, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "“noise” created by the instrument when it is first played), decay/sustain (how the amplitude decreases", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 479, + 507, + 495 + ], + "spans": [ + { + "bbox": [ + 104, + 479, + 507, + 495 + ], + "score": 1.0, + "content": "over time, or can be sustained by the player of the instrument) and release (the very end of the tone,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "following the time the player “releases” the note). All these factors add to the complexity and richness", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 502, + 414, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 414, + 516 + ], + "score": 1.0, + "content": "of an instrument’s sound, while also making it difficult to model it explicitly.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25, + "bbox_fs": [ + 104, + 372, + 507, + 516 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 536, + 322, + 548 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 324, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 324, + 551 + ], + "score": 1.0, + "content": "B SPECTROGRAM PROCESSING DETAILS", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 564, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "Waveform to CQT Spectrogram Using constant-Q transform as described in Section 2.1, CQT", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "score": 1.0, + "content": "spectrogram can be easily computed from time-domain waveforms. 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Standard implementations of CQT (e.g., librosa (librosa)) also", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 268, + 621 + ], + "score": 1.0, + "content": "allow scaling the Q values by a constant", + "type": "text" + }, + { + "bbox": [ + 269, + 609, + 294, + 619 + ], + "score": 0.92, + "content": "\\gamma > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 607, + 506, + 621 + ], + "score": 1.0, + "content": "to have finer control over time resolution - choosing", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 619, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 148, + 631 + ], + "score": 0.93, + "content": "\\gamma \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 619, + 426, + 631 + ], + "score": 1.0, + "content": "results in increased time resolution. In our experiments, we choose", + "type": "text" + }, + { + "bbox": [ + 426, + 619, + 461, + 631 + ], + "score": 0.9, + "content": "\\gamma = 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 619, + 506, + 631 + ], + "score": 1.0, + "content": ". After the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 630, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 506, + 643 + ], + "score": 1.0, + "content": "transformation, we take the log magnitude of the CQT spectrogram as the spectrogram representation.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 564, + 506, + 643 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 659, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "score": 1.0, + "content": "Waveform to STFT Spectrogram All the STFT spectrograms are generated using STFT with", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 669, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 107, + 670, + 158, + 681 + ], + "score": 0.89, + "content": "k _ { m a x } = 3 3 7", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 669, + 506, + 684 + ], + "score": 1.0, + "content": ". The window function is picked to be Hann Window with a window length of 672. A", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 132, + 691 + ], + "score": 0.35, + "content": "1 6 \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 681, + 505, + 693 + ], + "score": 1.0, + "content": "frame hop is also used (256 time steps under 16kHz). 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The weighting for our cycle consistency loss is 10 and the weighting of the identity loss is", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 625, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 625, + 505, + 637 + ], + "score": 1.0, + "content": "5. In the original CycleGAN the weighting of identity loss is constant throughout training but in", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "score": 1.0, + "content": "our experiment, it stays constant for the first 100000 steps, then it starts linearly decay to 0. We", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 646, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 660 + ], + "score": 1.0, + "content": "set the weighing for Gradient Penalty to be 10, as was suggested in Gulrajani et al. (2017). Our", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 656, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 104, + 656, + 506, + 672 + ], + "score": 1.0, + "content": "learning rate is exponentially warmed up to 0.0001 over 2500 steps, stays constant, then at step", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 669, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 505, + 681 + ], + "score": 1.0, + "content": "100000 starts to linearly decay to zero. The total training step is 1.5 million steps, trained with Adam", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 680, + 443, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 264, + 692 + ], + "score": 1.0, + "content": "optimizer (Kingma and Ba, 2014) with", + "type": "text" + }, + { + "bbox": [ + 264, + 680, + 294, + 691 + ], + "score": 0.92, + "content": "\\beta _ { 1 } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 680, + 311, + 692 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 312, + 680, + 349, + 691 + ], + "score": 0.91, + "content": "\\beta _ { 2 } = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 680, + 443, + 692 + ], + "score": 1.0, + "content": ", with a batch size of 1.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37.5 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 116, + 699, + 343, + 732 + ], + "lines": [ + { + "bbox": [ + 116, + 697, + 282, + 711 + ], + "spans": [ + { + "bbox": [ + 116, + 697, + 282, + 711 + ], + "score": 1.0, + "content": "11from website www.jsbach.net/midi/", + "type": "text" + } + ] + }, + { + "bbox": [ + 116, + 708, + 326, + 723 + ], + "spans": [ + { + "bbox": [ + 116, + 708, + 326, + 723 + ], + "score": 1.0, + "content": "12from website www.piano-midi.de/chopin.htm", + "type": "text" + } + ] + }, + { + "bbox": [ + 116, + 719, + 343, + 734 + ], + "spans": [ + { + "bbox": [ + 116, + 719, + 288, + 734 + ], + "score": 1.0, + "content": "13For all the synthesized audio, we use Timidity", + "type": "text" + }, + { + "bbox": [ + 289, + 722, + 300, + 730 + ], + "score": 0.67, + "content": "^ { + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 719, + 343, + 734 + ], + "score": 1.0, + "content": "synthesizer", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 81, + 320, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 320, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 320, + 95 + ], + "score": 1.0, + "content": "C DETAILED EXPERIMENTAL SETTINGS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 107, + 106, + 177, + 118 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 179, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 179, + 118 + ], + "score": 1.0, + "content": "C.1 DATASETS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 126, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 104, + 125, + 507, + 139 + ], + "spans": [ + { + "bbox": [ + 104, + 125, + 507, + 139 + ], + "score": 1.0, + "content": "MIDI Dataset Our MIDI dataset consists of two parts: MIDI-BACH 11 and MIDI-Chopin 12.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 136, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 150 + ], + "score": 1.0, + "content": "MIDI-BACH dataset is synthesized from a collection of bach MIDI files which have a total duration", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 146, + 507, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 507, + 163 + ], + "score": 1.0, + "content": "of around 10 hours 13. Each dataset contains 6 instruments: acoustic grand, violin, electric guitar,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 159, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 506, + 172 + ], + "score": 1.0, + "content": "flute, and harpsichord. 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The weighting for our cycle consistency loss is 10 and the weighting of the identity loss is", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 625, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 625, + 505, + 637 + ], + "score": 1.0, + "content": "5. In the original CycleGAN the weighting of identity loss is constant throughout training but in", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 505, + 648 + ], + "score": 1.0, + "content": "our experiment, it stays constant for the first 100000 steps, then it starts linearly decay to 0. We", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 646, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 660 + ], + "score": 1.0, + "content": "set the weighing for Gradient Penalty to be 10, as was suggested in Gulrajani et al. (2017). 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To make the model more robust, we augmented the training dataset by", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "score": 1.0, + "content": "randomly rescaling the original waveform based on its peak value based on a uniform distribution", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 212, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 506, + 226 + ], + "score": 1.0, + "content": "uniform(0.1, 1.0). 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Our beam search alternates between two steps: 1) run the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 372, + 324 + ], + "score": 1.0, + "content": "autoregressive WaveNet on each existing candidate waveforms for", + "type": "text" + }, + { + "bbox": [ + 372, + 314, + 380, + 322 + ], + "score": 0.72, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 312, + 406, + 324 + ], + "score": 1.0, + "content": "steps", + "type": "text" + }, + { + "bbox": [ + 406, + 312, + 448, + 323 + ], + "score": 0.84, + "content": "n = 2 0 4 8 )", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 312, + 505, + 324 + ], + "score": 1.0, + "content": ") to extend the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 323, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 506, + 335 + ], + "score": 1.0, + "content": "candidate waveforms, 2) prune the waveforms that have large squared error between the waveforms’", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 334, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 506, + 347 + ], + "score": 1.0, + "content": "CQT spectrogram and the target CQT spectrogram (beam search heuristic). We maintain a constant", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 244, + 358 + ], + "score": 1.0, + "content": "number of candidates (beam width", + "type": "text" + }, + { + "bbox": [ + 244, + 345, + 260, + 356 + ], + "score": 0.82, + "content": "= 8", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 345, + 506, + 358 + ], + "score": 1.0, + "content": ") by replicating the remaining candidate waveforms after each", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "pruning process. To make sure the local beam search heuristic is approximately aligned with the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 367, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 207, + 379 + ], + "score": 1.0, + "content": "global objective, we take", + "type": "text" + }, + { + "bbox": [ + 207, + 369, + 214, + 377 + ], + "score": 0.69, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 367, + 403, + 379 + ], + "score": 1.0, + "content": "extra prediction steps forward and use the extra", + "type": "text" + }, + { + "bbox": [ + 404, + 369, + 411, + 377 + ], + "score": 0.71, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 367, + 505, + 379 + ], + "score": 1.0, + "content": "samples along with the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 378, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 506, + 390 + ], + "score": 1.0, + "content": "candidate waveforms to obtain a better prediction of the spectrogram for the candidate waveforms.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 388, + 446, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 410, + 403 + ], + "score": 1.0, + "content": "The algorithm is provided in details as follows given the target spectrogram", + "type": "text" + }, + { + "bbox": [ + 410, + 389, + 441, + 401 + ], + "score": 0.91, + "content": "C _ { t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 388, + 446, + 403 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 129, + 407, + 506, + 533 + ], + "lines": [ + { + "bbox": [ + 129, + 407, + 170, + 419 + ], + "spans": [ + { + "bbox": [ + 129, + 407, + 142, + 419 + ], + "score": 1.0, + "content": "1.", + "type": "text" + }, + { + "bbox": [ + 142, + 407, + 170, + 419 + ], + "score": 0.46, + "content": "k 0", + "type": "inline_equation" + } + ], + "index": 26 + }, + { + "bbox": [ + 128, + 421, + 504, + 434 + ], + "spans": [ + { + "bbox": [ + 128, + 421, + 181, + 434 + ], + "score": 1.0, + "content": "2. Perform", + "type": "text" + }, + { + "bbox": [ + 182, + 423, + 195, + 432 + ], + "score": 0.8, + "content": "2 n", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 421, + 408, + 434 + ], + "score": 1.0, + "content": "autoregressive synthesis step on WaveNet on", + "type": "text" + }, + { + "bbox": [ + 408, + 422, + 464, + 434 + ], + "score": 0.95, + "content": "\\{ x _ { 1 } , \\cdots , x _ { k } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 421, + 493, + 434 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 494, + 424, + 504, + 432 + ], + "score": 0.7, + "content": "m", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 140, + 432, + 507, + 445 + ], + "spans": [ + { + "bbox": [ + 140, + 432, + 218, + 445 + ], + "score": 1.0, + "content": "parallel probes", + "type": "text" + }, + { + "bbox": [ + 218, + 434, + 228, + 443 + ], + "score": 0.61, + "content": "\\mathbf { \\chi } _ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 432, + 387, + 445 + ], + "score": 1.0, + "content": "is the beam width) to produce", + "type": "text" + }, + { + "bbox": [ + 388, + 435, + 398, + 443 + ], + "score": 0.68, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 432, + 507, + 445 + ], + "score": 1.0, + "content": "subsequent waveforms:", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 142, + 443, + 412, + 460 + ], + "spans": [ + { + "bbox": [ + 142, + 443, + 412, + 460 + ], + "score": 0.87, + "content": "\\bar { \\{ x _ { k + 1 } ^ { ( 1 ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( 1 ) } \\} } , \\{ x _ { k + 1 } ^ { ( 2 ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( 2 ) } \\} , \\cdot \\cdot \\cdot , \\{ x _ { k + 1 } ^ { ( \\hat { m } ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( m ) } \\}", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 123, + 453, + 511, + 487 + ], + "spans": [ + { + "bbox": [ + 123, + 453, + 270, + 487 + ], + "score": 1.0, + "content": "3. Compute the CQT spectrogram 0", + "type": "text" + }, + { + "bbox": [ + 270, + 465, + 281, + 476 + ], + "score": 0.86, + "content": "C _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 453, + 293, + 487 + ], + "score": 1.0, + "content": "of 0", + "type": "text" + }, + { + "bbox": [ + 294, + 461, + 375, + 478 + ], + "score": 0.93, + "content": "\\{ x _ { k + 1 } ^ { ( i ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( i ) } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 453, + 411, + 487 + ], + "score": 1.0, + "content": "for each", + "type": "text" + }, + { + "bbox": [ + 411, + 464, + 484, + 477 + ], + "score": 0.93, + "content": "i \\in \\{ 1 , 2 , \\cdots , m \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 453, + 511, + 487 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 142, + 477, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 142, + 480, + 219, + 492 + ], + "score": 1.0, + "content": "find the waveform", + "type": "text" + }, + { + "bbox": [ + 219, + 477, + 300, + 494 + ], + "score": 0.92, + "content": "\\{ x _ { k + 1 } ^ { ( i ^ { \\prime } ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( i ^ { \\prime } ) } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 477, + 475, + 495 + ], + "score": 1.0, + "content": "with the lowest square difference between", + "type": "text" + }, + { + "bbox": [ + 475, + 480, + 486, + 491 + ], + "score": 0.88, + "content": "C _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 477, + 506, + 495 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 489, + 289, + 506 + ], + "spans": [ + { + "bbox": [ + 141, + 489, + 256, + 506 + ], + "score": 1.0, + "content": "the target CQT spectrogram", + "type": "text" + }, + { + "bbox": [ + 257, + 493, + 266, + 502 + ], + "score": 0.28, + "content": "C _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 489, + 289, + 506 + ], + "score": 1.0, + "content": "arget", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 128, + 506, + 401, + 521 + ], + "spans": [ + { + "bbox": [ + 128, + 506, + 231, + 520 + ], + "score": 1.0, + "content": "4. Update the waveform", + "type": "text" + }, + { + "bbox": [ + 231, + 506, + 401, + 521 + ], + "score": 0.91, + "content": "x _ { j } = x _ { j } ^ { i ^ { \\prime } } , \\forall j \\in \\{ k + 1 , k + 2 , \\cdots , k + n \\}", + "type": "inline_equation" + } + ], + "index": 33 + }, + { + "bbox": [ + 128, + 520, + 189, + 534 + ], + "spans": [ + { + "bbox": [ + 128, + 520, + 142, + 534 + ], + "score": 1.0, + "content": "5.", + "type": "text" + }, + { + "bbox": [ + 142, + 521, + 189, + 532 + ], + "score": 0.9, + "content": "k \\gets k + n", + "type": "inline_equation" + } + ], + "index": 34 + } + ], + "index": 30 + }, + { + "type": "title", + "bbox": [ + 107, + 546, + 337, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 546, + 338, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 338, + 558 + ], + "score": 1.0, + "content": "C.6 ONE-SHOT GENERATION OF LONGER SEGMENTS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 566, + 505, + 665 + ], + "lines": [ + { + "bbox": [ + 106, + 566, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 506, + 579 + ], + "score": 1.0, + "content": "In our earlier attempts, we tried generating 4 seconds segments and then merge them back. However,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 589 + ], + "score": 1.0, + "content": "this resulted in volume inconsistencies between the 4 second generations. We suspect the CycleGAN", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 587, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 506, + 601 + ], + "score": 1.0, + "content": "learned a random volume permutation, because essentially there’s no explicit gradient signal against", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "it from the discriminator, after we enabled volume augmentation during train time. To resolve this", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 610, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 623 + ], + "score": 1.0, + "content": "issue, we removed the size constraint in our generator during test time so that it can generate based", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "on input of arbitrary length. At test time, the dataset is no longer 4 second chunks, instead, we", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 631, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 104, + 631, + 506, + 646 + ], + "score": 1.0, + "content": "preserved the original length of the musical piece(except when the piece is too long we cut it down to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 642, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 505, + 657 + ], + "score": 1.0, + "content": "2 minutes due to GPU memory constraint). During test time generation, the entire piece is fed into", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 654, + 257, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 257, + 666 + ], + "score": 1.0, + "content": "the CycleGAN generator in one shot.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40 + }, + { + "type": "title", + "bbox": [ + 107, + 679, + 351, + 689 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 352, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 352, + 690 + ], + "score": 1.0, + "content": "C.7 SPECTROGRAM RAW PIXEL INTENSITY HISTOGRAM", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 699, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 412, + 711 + ], + "score": 1.0, + "content": "Figure 5 shows that the rough distribution of spectrograms are centered at", + "type": "text" + }, + { + "bbox": [ + 413, + 699, + 423, + 709 + ], + "score": 0.26, + "content": "^ { - 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 699, + 505, + 711 + ], + "score": 1.0, + "content": ". As is discussed in", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Section 3.1, we globally normalized our input data based oh the distribution of spectrograms for each", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 720, + 201, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 201, + 732 + ], + "score": 1.0, + "content": "domain of instruments.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47 + } + ], + "page_idx": 15, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 109, + 82, + 286, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 288, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 288, + 95 + ], + "score": 1.0, + "content": "C.4 CONDITIONAL WAVENET TRAINING", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 103, + 505, + 246 + ], + "lines": [ + { + "bbox": [ + 106, + 103, + 505, + 115 + ], + "spans": [ + { + "bbox": [ + 106, + 103, + 505, + 115 + ], + "score": 1.0, + "content": "For the conditional wavenet , we used kernel size of 3 for all the dilated convolution layers and the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 114, + 505, + 126 + ], + "spans": [ + { + "bbox": [ + 106, + 114, + 505, + 126 + ], + "score": 1.0, + "content": "initial causal convolution. The residual connections and the skip connections all have width of 256", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 124, + 506, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 124, + 506, + 137 + ], + "score": 1.0, + "content": "for all the residual blocks. The initial causal convolution maps from a channel size of 1 to 256. The", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 135, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 105, + 135, + 505, + 148 + ], + "score": 1.0, + "content": "dilated convolutions map from a channel size of 256 to 512 before going through the gated activation", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 147, + 506, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 506, + 160 + ], + "score": 1.0, + "content": "unit. The conditional wavenet is trained with a learning rate of 0.0001 using Adam optimizer (Kingma", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 156, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 156, + 332, + 172 + ], + "score": 1.0, + "content": "and Ba, 2014), batch size of 4, sample length of 8196", + "type": "text" + }, + { + "bbox": [ + 333, + 158, + 363, + 169 + ], + "score": 0.83, + "content": "\\approx 0 . 5 s", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 156, + 425, + 172 + ], + "score": 1.0, + "content": "for audio with", + "type": "text" + }, + { + "bbox": [ + 426, + 158, + 464, + 168 + ], + "score": 0.6, + "content": "1 6 0 0 0 \\mathrm { H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 156, + 506, + 172 + ], + "score": 1.0, + "content": "sampling", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 170, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 505, + 181 + ], + "score": 1.0, + "content": "rate). To improve the generation quality we maintain an exponential moving average of the weights", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 180, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 505, + 192 + ], + "score": 1.0, + "content": "of the network with a decaying factor of 0.999. The averaged weights are then used to perform the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 191, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 505, + 204 + ], + "score": 1.0, + "content": "autoregressive generation. To make the model more robust, we augmented the training dataset by", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "score": 1.0, + "content": "randomly rescaling the original waveform based on its peak value based on a uniform distribution", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 212, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 506, + 226 + ], + "score": 1.0, + "content": "uniform(0.1, 1.0). 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We maintain a constant", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 244, + 358 + ], + "score": 1.0, + "content": "number of candidates (beam width", + "type": "text" + }, + { + "bbox": [ + 244, + 345, + 260, + 356 + ], + "score": 0.82, + "content": "= 8", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 345, + 506, + 358 + ], + "score": 1.0, + "content": ") by replicating the remaining candidate waveforms after each", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "pruning process. 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Compute the CQT spectrogram 0", + "type": "text" + }, + { + "bbox": [ + 270, + 465, + 281, + 476 + ], + "score": 0.86, + "content": "C _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 453, + 293, + 487 + ], + "score": 1.0, + "content": "of 0", + "type": "text" + }, + { + "bbox": [ + 294, + 461, + 375, + 478 + ], + "score": 0.93, + "content": "\\{ x _ { k + 1 } ^ { ( i ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( i ) } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 453, + 411, + 487 + ], + "score": 1.0, + "content": "for each", + "type": "text" + }, + { + "bbox": [ + 411, + 464, + 484, + 477 + ], + "score": 0.93, + "content": "i \\in \\{ 1 , 2 , \\cdots , m \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 453, + 511, + 487 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 30, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 477, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 142, + 480, + 219, + 492 + ], + "score": 1.0, + "content": "find the waveform", + "type": "text" + }, + { + "bbox": [ + 219, + 477, + 300, + 494 + ], + "score": 0.92, + "content": "\\{ x _ { k + 1 } ^ { ( i ^ { \\prime } ) } , \\cdot \\cdot \\cdot , x _ { k + 2 n } ^ { ( i ^ { \\prime } ) } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 477, + 475, + 495 + ], + "score": 1.0, + "content": "with the lowest square difference between", + "type": "text" + }, + { + "bbox": [ + 475, + 480, + 486, + 491 + ], + "score": 0.88, + "content": "C _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 477, + 506, + 495 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 489, + 289, + 506 + ], + "spans": [ + { + "bbox": [ + 141, + 489, + 256, + 506 + ], + "score": 1.0, + "content": "the target CQT spectrogram", + "type": "text" + }, + { + "bbox": [ + 257, + 493, + 266, + 502 + ], + "score": 0.28, + "content": "C _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 489, + 289, + 506 + ], + "score": 1.0, + "content": "arget", + "type": "text" + } + ], + "index": 32, + "is_list_end_line": true + }, + { + "bbox": [ + 128, + 506, + 401, + 521 + ], + "spans": [ + { + "bbox": [ + 128, + 506, + 231, + 520 + ], + "score": 1.0, + "content": "4. Update the waveform", + "type": "text" + }, + { + "bbox": [ + 231, + 506, + 401, + 521 + ], + "score": 0.91, + "content": "x _ { j } = x _ { j } ^ { i ^ { \\prime } } , \\forall j \\in \\{ k + 1 , k + 2 , \\cdots , k + n \\}", + "type": "inline_equation" + } + ], + "index": 33, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 128, + 520, + 189, + 534 + ], + "spans": [ + { + "bbox": [ + 128, + 520, + 142, + 534 + ], + "score": 1.0, + "content": "5.", + "type": "text" + }, + { + "bbox": [ + 142, + 521, + 189, + 532 + ], + "score": 0.9, + "content": "k \\gets k + n", + "type": "inline_equation" + } + ], + "index": 34, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 30, + "bbox_fs": [ + 123, + 407, + 511, + 534 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 546, + 337, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 546, + 338, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 338, + 558 + ], + "score": 1.0, + "content": "C.6 ONE-SHOT GENERATION OF LONGER SEGMENTS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 566, + 505, + 665 + ], + "lines": [ + { + "bbox": [ + 106, + 566, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 506, + 579 + ], + "score": 1.0, + "content": "In our earlier attempts, we tried generating 4 seconds segments and then merge them back. 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TotalSamplesAnswerAudio SampleVerySimilarSimilarDifferentDo not know
200Target Instrument & TimbreTronGeneration31.2%40.5%28.0%0.5%
100Original Instrument &Tim+breTron Generation23.0%21.0%56.0%0.0%
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Listen to two audio clips: (Embedded link for clip A and clip B)
The clip A and B may be similar in some ways,and different in others. Rate their similarities with the following criteria:
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(iii) What instrument did clip A primarily sound like to you?
(iv) What instrument did clip B primarily sound like to you?
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TotalSamplesAnswer ArchitectureNearlyIdenticalVerySimilarRelatedEntirelyDifferentDo notknow
200TargetInstrument&Tim+breTronGeneration29.5%38.0%22.5%10.0%0.0%
100OriginalInstrument&Tim+breTron Generation32.0%21.0%25.0%22.0%0.0%
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Total SamplesAnswer Audio SampleCQTsameSTFT
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However, past work has concentrated on learning graph embedding tasks only, which is in contrast with advances in generative models for images and text. Is it possible to transfer this progress to the domain of graphs? We propose to sidestep hurdles associated with linearization of such discrete structures by having a decoder output a probabilistic fully-connected graph of a predefined maximum size directly at once. Our method is formulated as a variational autoencoder. We evaluate on the challenging task of conditional molecule generation. + +# 1 INTRODUCTION + +Deep learning on graphs has very recently become a popular research topic, with useful applications across fields such as chemistry (Gilmer et al., 2017), medicine (Ktena et al.), or computer vision (Simonovsky & Komodakis, 2017). Past work has concentrated on learning graph embedding tasks so far, i.e. encoding an input graph into a vector representation. This is in stark contrast with fastpaced advances in generative models for images and text, which have seen massive rise in quality of generated samples. Hence, it is an intriguing question how one can transfer this progress to the domain of graphs, i.e. their decoding from a vector representation. Moreover, the desire for such a method has been mentioned in the past by Gomez-Bombarelli et al. (2016). ´ + +However, learning to generate graphs is a difficult problem for methods based on gradient optimization, as graphs are discrete structures. Incremental construction involves discrete decisions, which are not differentiable. Unlike sequence (text) generation, graphs can have arbitrary connectivity and there is no clear best way how to linearize their construction in a sequence of steps. + +In this work, we propose to sidestep these hurdles by having the decoder output a probabilistic fully-connected graph of a predefined maximum size directly at once. In a probabilistic graph, the existence of nodes and edges, as well as their attributes, are modeled as independent random variables. The method is formulated in the framework of variational autoencoders (VAE) by Kingma & Welling (2013). + +We demonstrate our method, coined GraphVAE, in cheminformatics on the task of molecule generation. Molecular datasets are a challenging but convenient testbed for our generative model, as they easily allow for both qualitative and quantitative tests of decoded samples. While our method is applicable for generating smaller graphs only and its performance leaves space for improvement, we believe our work is an important initial step towards powerful and efficient graph decoders. + +# 2 RELATED WORK + +Graph Decoders. Graph generation has been largely unexplored in deep learning. The closest work to ours is by Johnson (2017), who incrementally constructs a probabilistic (multi)graph as a world representation according to a sequence of input sentences to answer a query. While our model also outputs a probabilistic graph, we do not assume having a prescribed order of construction transformations available and we formulate the learning problem as an autoencoder. + +$\mathrm { X u }$ et al. (2017) learns to produce a scene graph from an input image. They construct a graph from a set of object proposals, provide initial embeddings to each node and edge, and use message passing to obtain a consistent prediction. In contrast, our method is a generative model which produces a probabilistic graph from a single opaque vector, without specifying the number of nodes or the structure explicitly. + +![](images/bd2e26609369b1d21ef49469a2b2a5f5cab0a4cffa4eac6081c1771bbc4a90cd.jpg) +Figure 1: Illustration of the proposed variational graph autoencoder in its conditional form. Starting from a discrete attributed graph $G = ( A , E , F )$ on $n$ nodes (e.g. a representation of propylene oxide), stochastic graph encoder $q _ { \phi } ( \mathbf { z } | G )$ embeds the graph into continuous representation $\mathbf { z }$ . Given a point in the latent space, our novel graph decoder $p _ { \boldsymbol { \theta } } ( G | \mathbf { z } )$ outputs a probabilistic fully-connected graph $\widetilde { G } = ( \widetilde { A } , \widetilde { E } , \widetilde { F } )$ on predefined $k \geq n$ nodes, from which discrete samples may be drawn. The process can be conditioned on label $\mathbf { y }$ for controlled sampling at test time. Reconstruction ability of the autoencoder is facilitated by approximate graph matching for aligning $G$ with $\widetilde { G }$ . + +Related work pre-dating deep learning includes random graphs (Erdos & Renyi, 1960; Barab ´ asi & ´ Albert, 1999), stochastic blockmodels (Snijders & Nowicki, 1997), or state transition matrix learning (Gong & Xiang, 2003). + +Discrete Data Decoders. Text is the most common discrete representation. Generative models there are usually trained by teacher forcing (Williams & Zipser, 1989), which avoids the need to backpropagate through output discretization by feeding the ground truth instead of the past sample at each step. Recently, efforts have been made to overcome this problem. Notably, computing a differentiable approximation using Gumbel distribution (Kusner & Hernandez-Lobato, 2016) or ´ bypassing the problem by learning a stochastic policy in reinforcement learning (Yu et al., 2017). Our work also circumvents the non-differentiability problem, namely by formulating the loss on a probabilistic graph. + +Molecule Decoders. Generative models may become promising for de novo design of molecules fulfilling certain criteria by being able to search for them over a continuous embedding space (Olivecrona et al., 2017). With that in mind, we propose a conditional version of our model. While molecules have an intuitive representation as graphs, the field has had to resort to textual representations with fixed syntax, e.g. so-called SMILES strings, to exploit recent progress made in text generation with RNNs (Olivecrona et al., 2017; Segler et al., 2017; Gomez-Bombarelli et al., 2016). ´ As their syntax is brittle, many invalid strings tend to be generated, which has been recently addressed by Kusner et al. (2017) by incorporating grammar rules into decoding. While encouraging, their approach does not guarantee semantic (chemical) validity, similarly as our method. + +# 3 METHOD + +We approach the task of graph generation by devising a neural network able to translate vectors in a continuous code space to graphs. Our main idea is to output a probabilistic fully-connected graph and use a standard graph matching algorithm to align it to the ground truth. The proposed method is formulated in the framework of variational autoencoders (VAE) by Kingma & Welling (2013), although other forms of regularized autoencoders would be equally suitable (Makhzani et al., 2015; + +Li et al., 2015a). We briefly recapitulate VAE below and continue with introducing our novel graph decoder together with an appropriate loss function. + +# 3.1 VARIATIONAL AUTOENCODER + +Let $G = ( A , E , F )$ be a graph specified with its adjacency matrix $A$ , edge attribute tensor $E$ , and node attribute matrix $F$ . We wish to learn an encoder and a decoder to map between the space of graphs $G$ and their continuous embedding $\mathbf { z } \in \mathbb { R } ^ { c }$ , see Figure 1. In the probabilistic setting of a VAE, the encoder is defined by a variational posterior $q _ { \phi } ( \mathbf { z } | G )$ and the decoder by a generative distribution $p _ { \boldsymbol { \theta } } ( G | \mathbf { z } )$ , where $\phi$ and $\theta$ are learned parameters. Furthermore, there is a prior distribution $p ( \mathbf { z } )$ imposed on the latent code representation as a regularization; we use a simplistic isotropic Gaussian prior $p ( \mathbf { z } ) = N ( 0 , I )$ . The whole model is trained by minimizing the upper bound on negative log-likelihood $- \log p _ { \theta } ( G )$ (Kingma & Welling, 2013): + +$$ +\mathcal { L } ( \phi , \theta ; G ) = \mathbb { E } _ { q _ { \phi } ( \mathbf { z } | G ) } [ - \log p _ { \theta } ( G | \mathbf { z } ) ] + \mathrm { K L } [ q _ { \phi } ( \mathbf { z } | G ) | | p ( \mathbf { z } ) ] +$$ + +The first term of $\mathcal { L }$ , the reconstruction loss, enforces high similarity of sampled generated graphs to the input graph $G$ . The second term, KL-divergence, regularizes the code space to allow for sampling of $\mathbf { z }$ directly from $p ( \mathbf { z } )$ instead from $q _ { \phi } ( \bar { \bf z } | G )$ later. The dimensionality of $\mathbf { z }$ is usually fairly small so that the autoencoder is encouraged to learn a high-level compression of the input instead of learning to simply copy any given input. While the regularization is independent on the input space, the reconstruction loss must be specifically designed for each input modality. In the following, we introduce our graph decoder together with an appropriate reconstruction loss. + +# 3.2 PROBABILISTIC GRAPH DECODER + +Graphs are discrete objects, ultimately. While this does not pose a challenge for encoding, demonstrated by the recent developments in graph convolution networks (Gilmer et al., 2017), graph generation has been an open problem so far. In a related task of text sequence generation, the currently dominant approach is character-wise or word-wise prediction (Bowman et al., 2016). However, graphs can have arbitrary connectivity and there is no clear way how to linearize their construction in a sequence of steps1. On the other hand, iterative construction of discrete structures during training without step-wise supervision involves discrete decisions, which are not differentiable and therefore problematic for back-propagation. + +Fortunately, the task can become much simpler if we restrict the domain to the set of all graphs on maximum $k$ nodes, where $k$ is fairly small (in practice up to the order of tens). Under this assumption, handling dense graph representations is still computationally tractable. We propose to make the decoder output a probabilistic fully-connected graph $\widetilde { G } = ( \widetilde { A } , \widetilde { E } , \widetilde { F } )$ on $k$ nodes at once. This effectively sidesteps both problems mentioned above. + +In probabilistic graphs, the existence of nodes and edges is modeled as Bernoulli variables, whereas node and edge attributes are multinomial variables. While not discussed in this work, continuous attributes could be easily modeled as Gaussian variables represented by their mean and variance. We assume all variables to be independent. + +Each tensor of the representation of $\widetilde { G }$ has thus a probabilistic interpretation. Specifically, the predicted adjacency matrix $\widetilde { A } \in [ 0 , 1 ] ^ { k \times k }$ contains both node probabilities $\widetilde { A } _ { a , a }$ and edge probabilities $\widetilde { A } _ { a , b }$ for nodes $a \neq b$ . The edge attribute tensor $\widetilde { E } \in \mathbb { R } ^ { k \times k \times d _ { e } }$ indicates class probabilities for edges and, similarly, the node attribute matrix $\widetilde { F } \in \mathbb { R } ^ { k \times d _ { n } }$ contains class probabilities for nodes. + +The decoder itself is deterministic. Its architecture is a simple multi-layer perceptron (MLP) with three outputs in its last layer. Sigmoid activation function is used to compute $\widetilde { A }$ , whereas edge- and node-wise softmax is applied to obtain $\widetilde { E }$ and $\widetilde { F }$ , respectively. At test time, we are often interested in a (discrete) point estimate of $\widetilde { G }$ , which can be obtained by taking edge- and node-wise argmax in $\widetilde { A } , \widetilde { E }$ , and $\widetilde { F }$ . Note that this can result in a discrete graph on less than $k$ nodes. + +# 3.3 RECONSTRUCTION LOSS + +Given a particular of a discrete input graph $G$ on $n \leq k$ nodes and its probabilistic reconstruction $\widetilde { G }$ on $k$ nodes, evaluation of Equation 1 requires computation of likelihood $p _ { \theta } ( G | \mathbf { z } ) = P ( G | \widetilde { G } )$ . + +Since no particular ordering of nodes is imposed in either $\widetilde { G }$ or $G$ and matrix representation of graphs is not invariant to permutations of nodes, comparison of two graphs is hard. However, approximate graph matching described further in Subsection 3.4 can obtain a binary assignment matrix $X \in$ $\{ 0 , 1 \} ^ { k \times n }$ , where $X _ { a , i } = 1$ only if node $a \in { \widetilde { G } }$ is assigned to $i \in G$ and $X _ { a , i } = 0$ otherwise. + +Knowledge of $X$ allows to map information between both graphs. Specifically, input adjacency matrix is mapped to the predicted graph as $A ^ { \prime } = X A X ^ { T }$ , whereas the predicted node attribute matrix and slices of edge attribute matrix are transferred to the input graph as $\widetilde { F } ^ { \prime } = X ^ { T } \widetilde { F }$ and $\widetilde { E } _ { \cdot , \cdot , l } ^ { \prime } = X ^ { T } \widetilde { E } _ { \cdot , \cdot , l } X$ . The maximum likelihood estimates, i.e. cross-entropy, of respective variables are as follows: + +$$ +\begin{array} { r l } & { \log p ( { \cal A } ^ { \prime } | { \bf z } ) = 1 / k \displaystyle \sum _ { a } { \cal A } _ { a , a } ^ { \prime } \log \widetilde { { \cal A } } _ { a , a } + ( 1 - { \cal A } _ { a , a } ^ { \prime } ) \log ( 1 - \widetilde { { \cal A } } _ { a , a } ) + } \\ & { \quad \quad \quad \quad + 1 / k ( k - 1 ) \displaystyle \sum _ { a \neq b } { \cal A } _ { a , b } ^ { \prime } \log \widetilde { { \cal A } } _ { a , b } + ( 1 - { \cal A } _ { a , b } ^ { \prime } ) \log ( 1 - \widetilde { { \cal A } } _ { a , b } ) } \\ & { \log p ( { \cal F } | { \bf z } ) = 1 / n \displaystyle \sum _ { i } \log { \cal F } _ { i , \cdot } ^ { T } \widetilde { { \cal F } } _ { i , \cdot } ^ { \prime } } \\ & { \log p ( { \cal E } | { \bf z } ) = 1 / ( \| { \cal A } \| _ { 1 } - n ) \displaystyle \sum _ { i \neq j } \log { \cal E } _ { i , j , \cdot } ^ { T } \widetilde { { \cal E } } _ { i , j , \cdot } ^ { \prime } . } \end{array} +$$ + +where we assumed that $F$ and $E$ are encoded in one-hot notation. The formulation considers existence of both matched and unmatched nodes and edges but attributes of only the matched ones. Furthermore, averaging over nodes and edges separately has shown beneficial in training as otherwise the edges dominate the likelihood. The overall reconstruction loss is a weighed sum of the previous terms: + +$$ +- \log p ( G | \mathbf { z } ) = - \lambda _ { A } \log p ( A ^ { \prime } | \mathbf { z } ) - \lambda _ { F } \log p ( F | \mathbf { z } ) - \lambda _ { E } \log p ( E | \mathbf { z } ) +$$ + +# 3.4 GRAPH MATCHING + +The goal of (second-order) graph matching is to find correspondences $X \in \{ 0 , 1 \} ^ { k \times n }$ between nodes of graphs $G$ and $\widetilde { G }$ based on the similarities of their node pairs $S : ( i , j ) \times ( a , b ) \mathbb { R } ^ { + }$ for $i , j \in G$ and $a , b \in { \widetilde { G } }$ . It can be expressed as integer quadratic programming problem of similarity maximization over $X$ and is typically approximated by relaxation of $X$ into continuous domain: $X ^ { \ast } \in [ 0 , 1 ] ^ { k \times n }$ (Cho et al., 2014). For our use case, the similarity function is defined as follows: + +$$ +\begin{array} { r l } & { S ( ( i , j ) , ( a , b ) ) = ( E _ { i , j , . } ^ { T } \widetilde { E } _ { a , b , . } ) A _ { i , j } \widetilde { A } _ { a , b } \widetilde { A } _ { a , a } \widetilde { A } _ { b , b } [ i \neq j \wedge a \neq b ] + } \\ & { \quad \quad \quad + ( F _ { i , \cdot } ^ { T } \widetilde { F } _ { a , \cdot } ) \widetilde { A } _ { a , a } [ i = j \wedge a = b ] } \end{array} +$$ + +The first term evaluates similarity between edge pairs and the second term between node pairs, $[ \cdot ]$ being the Iverson bracket. Note that the scores consider both feature compatibility ( $\widetilde F$ and $\widetilde { E }$ ) and existential compatibility $( \widetilde { A } )$ , which has empirically led to more stable assignments during training. To summarize the motivation behind both Equations 3 and 4, our method aims to find the best graph matching and then further improve on it by gradient descent on the loss. Given the stochastic way of training deep network, we argue that solving the matching step only approximately is sufficient. This is conceptually similar to the approach for learning to output unordered sets by (Vinyals et al., 2015), where the closest ordering of the training data is searched for. + +In practice, we are looking for a graph matching algorithm robust to noisy correspondences which can be easily implemented on GPU in batch mode. Max-pooling matching (MPM) by Cho et al. + +(2014) is a simple but effective algorithm following the iterative scheme of power methods, see Appendix A for details. It can be used in batch mode if similarity tensors are zero-padded, i.e. $\mathsf { \bar { S } } ( ( i , j ) , ( a , b ) ) = 0$ for $n < i , j \le k$ , and the amount of iterations is fixed. + +Max-pooling matching outputs continuous assignment matrix $X ^ { * }$ . Unfortunately, attempts to directly use $X ^ { \ast }$ instead of $X$ in Equation 3 performed badly, as did experiments with direct maximization of $X ^ { * }$ or soft discretization with softmax or straight-through Gumbel softmax (Jang et al., 2016). We therefore discretize $X ^ { * }$ to $X$ using Hungarian algorithm to obtain a strict one-on-one mapping2. While this operation is non-differentiable, gradient can still flow to the decoder directly through the loss function and training convergence proceeds without problems. Note that this approach is often taken in works on object detection, e.g. (Stewart et al., 2016), where a set of detections need to be matched to a set of ground truth bounding boxes and treated as fixed before computing a differentiable loss. + +# 3.5 FURTHER DETAILS + +Encoder. A feed forward network with edge-conditioned graph convolutions (ECC) (Simonovsky & Komodakis, 2017) is used as encoder, although any other graph embedding method is applicable. As our edge attributes are categorical, a single linear layer for the filter generating network in ECC is sufficient. Due to smaller graph sizes no pooling is used in encoder except for global pooling, for which we employ soft attention pooling of Li et al. (2015b). As usual in VAE, we formulate encoder as probabilistic and enforce Gaussian distribution of $q _ { \phi } ( \mathbf { z } | G )$ by having the last encoder layer outputs $2 c$ features interpreted as mean and variance, allowing to sample $\mathbf { z } _ { l } \sim N ( \mu _ { l } ( G ) , \sigma _ { l } ( G ) )$ for $l \in { 1 , . . , c }$ using the re-parameterization trick (Kingma & Welling, 2013). + +Disentangled Embedding. In practice, rather than random drawing of graphs, one often desires more control over the properties of generated graphs. In such case, we follow Sohn et al. (2015) and condition both encoder and decoder on label vector $\mathbf { y }$ associated with each input graph $G$ . Decoder $p _ { \theta } ( G | \mathbf { z } , \mathbf { y } )$ is fed a concatenation of $\mathbf { z }$ and $\mathbf { y }$ , while in encoder $q _ { \phi } ( \mathbf { z } | G , \mathbf { y } )$ , y is concatenated to every node’s features just before the graph pooling layer. If the size of latent space $c$ is small, the decoder is encouraged to exploit information in the label. + +Limitations. The proposed model is expected to be useful only for generating small graphs. This is due to growth of GPU memory requirements and number of parameters $( O ( k ^ { \bar { 2 } } ) )$ as well matching complexity $( O ( k ^ { 4 } ) )$ with small decrease in quality for high values of $k$ . In Section 4 we demonstrate results for up to $k = 3 8$ . Nevertheless, for many applications even generation of small graphs is still very useful. + +# 4 EVALUATION + +We demonstrate our method for the task of molecule generation by evaluating on two large public datasets of organic molecules, QM9 and ZINC. + +# 4.1 APPLICATION IN CHEMINFORMATICS + +Quantitative evaluation of generative models of images and texts has been troublesome (Theis et al., 2015), as it very difficult to measure realness of generated samples in an automated and objective way. Thus, researchers frequently resort there to qualitative evaluation and embedding plots. However, qualitative evaluation of graphs can be very unintuitive for humans to judge unless the graphs are planar and fairly simple. + +Fortunately, we found graph representation of molecules, as undirected graphs with atoms as nodes and bonds as edges, to be a convenient testbed for generative models. On one hand, generated graphs can be easily visualized in standardized structural diagrams. On the other hand, chemical validity of graphs, as well as many further properties a molecule can fulfill, can be checked using software packages (SanitizeMol in RDKit) or simulations. This makes both qualitative and quantitative tests possible. + +Chemical constraints on compatible types of bonds and atom valences make the space of valid graphs complicated and molecule generation challenging. In fact, a single addition or removal of edge or change in atom or bond type can make a molecule chemically invalid. Comparably, flipping a single pixel in MNIST-like number generation problem is of no issue. + +To help the network in this application, we introduce three remedies. First, we make the decoder output symmetric $\widetilde { A }$ and $\widetilde { E }$ by predicting their (upper) triangular parts only, as undirected graphs are sufficient representation for molecules. Second, we use prior knowledge that molecules are connected and, at test time only, construct maximum spanning tree on the set of probable nodes $\{ a : \widetilde { A } _ { a , a } \geq 0 . 5 \}$ in order to include its edges $( a , b )$ in the discrete pointwise estimate of the graph even if $\widetilde { A } _ { a , b } < 0 . 5$ originally. Third, we do not generate Hydrogen explicitly and let it be added as ”padding” during chemical validity check. + +# 4.2 QM9 DATASET + +QM9 dataset (Ramakrishnan et al., 2014) contains about $1 3 4 \mathrm { k }$ organic molecules of up to 9 heavy (non Hydrogen) atoms with 4 distinct atomic numbers and 4 bond types, we set $k = 9$ , $d _ { e } = 4$ and $d _ { n } = 4$ . We set aside $1 0 \mathrm { k }$ samples for testing and $1 0 \mathrm { k }$ for validation (model selection). + +We compare our unconditional model to the character-based generator of Gomez-Bombarelli et al. ´ (2016) (CVAE) and the grammar-based generator of Kusner et al. (2017) (GVAE). We used the code and architecture in Kusner et al. (2017) for both baselines, adapting the maximum input length to the smallest possible. In addition, we demonstrate a conditional generative model for an artificial task of generating molecules given a histogram of heavy atoms as 4-dimensional label y, the success of which can be easily validated. + +Setup. The encoder has two graph convolutional layers (32 and 64 channels) with identity connection, batchnorm, and ReLU; followed by soft attention pooling (Li et al., 2015b) with 128 channels and a fully-connected layer (FCL) to output $( \mu , \sigma )$ . The decoder has 3 FCLs (128, 256, and 512 channels) with batchnorm and ReLU; followed by parallel triplet of FCLs to output graph tensors. We set $c = 4 0$ , $\lambda _ { A } = \lambda _ { F } = \lambda _ { E } = 1$ , batch size 32, 75 MPM iterations and train for 25 epochs with Adam with learning rate 1e-3 and $\beta _ { 1 } { = } 0 . 5$ . + +Embedding Visualization. To visually judge the quality and smoothness of the learned embedding $\mathbf { z }$ of our model, we may traverse it in two ways: along a slice and along a line. For the former, we randomly choose two $c$ -dimensional orthonormal vectors and sample $\mathbf { z }$ in regular grid pattern over the induced 2D plane. For the latter, we randomly choose two molecules $G ^ { ( 1 ) } , G ^ { ( 2 ) }$ of the same label from test set and interpolate between their embeddings $\mu ( G ^ { ( 1 ) } ) , \mu ( G ^ { ( 2 ) } )$ . This also evaluates the encoder, and therefore benefits from low reconstruction error. + +We plot two planes in Figure 2, for a frequent label (left) and a less frequent label in QM9 (right). Both images show a varied and fairly smooth mix of molecules. The left image has many valid samples broadly distributed across the plane, as presumably the autoencoder had to fit a large portion of database into this space. The right exhibits stronger effect of regularization, as valid molecules tend to be only around center. + +An example of several interpolations is shown in Figure 3. We can find both meaningful (1st, 2nd and 4th row) and less meaningful transitions, though many samples on the lines do not form chemically valid compounds. + +Decoder Quality Metrics. The quality of a conditional decoder can be evaluated by the validity and variety of generated graphs. For a given label $\mathbf { y } ^ { ( l ) }$ , we draw $n _ { s } = 1 0 ^ { 4 }$ samples $\bar { \mathbf { z } } ^ { ( l , s ) } \sim p ( \mathbf { z } )$ and compute the discrete point estimate of their decodings $\hat { G } ^ { ( l , s ) } = \arg \operatorname* { m a x } p _ { \boldsymbol { \theta } } \big ( G | \mathbf { z } ^ { ( l , s ) } , \mathbf { y } ^ { ( l ) } \big )$ . + +Let $V ^ { ( l ) }$ be the list of chemically valid molecules from $\hat { G } ^ { ( l , s ) }$ and $C ^ { ( l ) }$ be the list of chemically valid molecules with atom histograms equal to $\mathbf { y } ^ { ( l ) }$ . We are interested in ratios $\mathrm { V a l i d } ^ { ( l ) } = | V ^ { ( l ) } | / n _ { s }$ and Accurate $^ { ( l ) } = | C ^ { ( l ) } | / n _ { s }$ . Furthermore, let $\mathrm { U n i q u e } ^ { ( l ) } = | \mathrm { s e t } ( { \cal C } ^ { ( l ) } ) | / | { \cal C } ^ { ( l ) } |$ be the fraction of unique correct graphs and $\mathrm { N o v e l } ^ { ( l ) } = 1 - | \mathrm { s e t } ( C ^ { ( l ) } ) \cap \mathrm { Q M } 9 | / | \mathrm { s e t } ( C ^ { ( l ) } ) |$ the fraction of novel out-of-dataset graphs; we define $\mathrm { U n i q u e } ^ { ( l ) } = 0$ and $\mathrm { N o v e l } ^ { ( l ) } = 0$ if $| C ^ { ( l ) } | = 0$ . Finally, the introduced metrics are aggregated by frequencies of labels in QM9, e.g. $\begin{array} { r } { \mathrm { V a l i d } = \sum _ { l } \mathrm { V a l i d } ^ { ( l ) } \mathrm { f r e q } ( \mathbf { y } ^ { ( l ) } ) } \end{array}$ . Unconditional decoders are evaluated by assuming there is just a single label, therefore Valid $=$ Accurate. + +![](images/96f5127b3c5447296d83b5f8ea28fe7690ee2904169d092e93b12b4baf14d311.jpg) +Figure 2: Decodings of latent space points sampled over a random 2D plane in z-space of $c = 4 0$ (within 5 units from center of coordinates). Left: Samples conditioned on $7 \mathbf { x }$ Carbon, $1 \mathbf { x }$ Nitrogen, 1x Oxygen ( $12 \%$ QM9). Right: Samples conditioned on $5 \mathbf { x }$ Carbon, 1x Nitrogen, $3 \mathbf { x }$ Oxygen $2 . 6 \%$ QM9). Color legend as in Figure 3. + +![](images/71807bde150e0d214ffd3dad47fac6f2df24b76c5dc70e5da8b23c84a335fab7.jpg) +Figure 3: Linear interpolation between row-wise pairs of randomly chosen molecules in $\mathbf { z } \mathrm { . }$ -space of $c = 4 0$ . Color legend: encoder inputs (green), chemically invalid graphs (red), valid graphs with wrong label (blue), valid and correct (white). + +In Table 1, we can see that on average $50 \%$ of generated molecules are chemically valid and, in the case of conditional models, about $40 \%$ have the correct label which the decoder was conditioned on. Larger embedding sizes $c$ are less regularized, demonstrated by a higher number of Unique samples and by lower accuracy of the conditional model, as the decoder is forced less to rely on actual labels. The ratio of Valid samples shows less clear behavior, likely because the discrete performance is not directly optimized for. For all models, it is remarkable that about $60 \%$ of generated molecules are out of the dataset, i.e. the network has never seen them during training. In Appendix B we additionally trade uniqueness for validity. + +Table 1: Performance on conditional and unconditional QM9 models evaluated by mean testtime reconstruction log-likelihood $( \log p _ { \theta } ( G | \mathbf { z } ) )$ , mean test-time evidence lower bound (ELBO), and decoding quality metrics (Section 4.2). Baselines CVAE (Gomez-Bombarelli et al., 2016) and ´ GVAE(Kusner et al., 2017) are listed only for the embedding size with the highest Valid. + +
log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs c = 20-0.578-0.7220.5650.4670.3140.598
Ours c = 40-0.504-0.6170.5110.4160.4840.635
Ours c = 60-0.492-0.5850.5200.4060.5830.613
Ours c = 80-0.475-0.5570.4580.3530.6660.661
Ours c = 20-0.660-0.9160.4850.4850.4570.575
marrniruirrnOurs c = 40-0.537-0.7440.5420.5420.6180.617
Ours c = 60-0.4860.5170.5170.6950.570
Ours c = 80-0.482-0.656 -0.6280.5570.5570.7600.616
NoGM c = 80
CVAE c = 60-2.388-2.5530.810 0.1030.8100.2410.610
GVAE c = 2010.6020.1030.6750.900
110.6020.0930.809
+ +Looking at the baselines, CVAE can output only very few valid samples as expected, while GVAE generates the highest number of valid samples $( 6 0 \% )$ but of very low variance (less than $10 \%$ ). Additionally, we investigate the importance of graph matching by using identity assignment $X$ instead and thus learning to reproduce particular node permutations in the training set, which correspond to the canonical ordering of SMILES strings from rdkit. This ablated model (denoted as NoGM in Table 1) produces many valid samples of lower variety and, surprisingly, outperforms GVAE in this regard. In comparison, our model can achieve good performance in both metrics at the same time. + +Likelihood. Besides the application-specific metric introduced above, we also report evidence lower bound (ELBO) commonly used in VAE literature, which corresponds to $- { \mathcal { L } } ( { \bar { \phi } } , \theta ; G )$ in our notation. In Table 1, we state mean bounds over train and test set, using a single $\mathbf { z }$ sample per graph. We observe both reconstruction loss and KL-divergence decrease due to larger $c$ providing more freedom. However, there seems to be no strong correlation between ELBO and Valid, which makes model selection somewhat difficult. + +# 4.3 ZINC DATASET + +ZINC dataset (Irwin et al., 2012) contains about 250k drug-like organic molecules of up to 38 heavy atoms with 9 distinct atomic numbers and 4 bond types, we set $k = 3 8$ , $d _ { e } = 4$ and $d _ { n } = 9$ and use the same split strategy as with QM9. We investigate the degree of scalability of an unconditional generative model. + +Setup. The setup is equivalent as for QM9 but with a wider encoder (64, 128, 256 channels). + +Decoder Quality Metrics. Our best model with $c = 4 0$ has archived $\mathrm { V a l i d } = 0 . 1 3 5$ , which is clearly worse than for QM9. For comparison, CVAE failed to generated any valid sample, while GVAE achieved $\mathrm { V a l i d } = 0 . 3 5 7$ (models provided by Kusner et al. (2017), $c = 5 6$ ). + +We attribute such a low performance to a generally much higher chance of producing a chemicallyrelevant inconsistency (number of possible edges growing quadratically). To confirm the relationship between performance and graph size $k$ , we kept only graphs not larger than $k = 2 0$ nodes, corresponding to $21 \%$ of ZINC, and obtained $\mathrm { V a l i d } = 0 . 3 4 1$ (and $\mathrm { V a l i d } = 0 . 1 8 5$ for $k = 3 0$ nodes, $92 \%$ of ZINC). To verify that the problem is likely not caused by our proposed graph matching loss, we synthetically evaluate it in the following. + +
Noisek =15k =20k =25k =30k =35k = 40
∈A,E,F =099.5599.5299.4599.499.4799.46
∈A = 0.490.9589.5586.6487.2587.0786.78
∈A= 0.882.1481.0179.6279.6779.0778.69
€E=0.497.1196.4295.6595.9095.6995.69
€E=0.892.0390.7689.7689.7088.3489.40
€F=0.498.3298.2397.6498.2898.2497.90
∈F=0.897.2697.0096.6096.9196.5697.17
+ +Table 2: Mean accuracy of matching ZINC graphs to their noisy counterparts in a synthetic benchmark as a function of maximum graph size $k$ . + +Matching Robustness. Robust behavior of graph matching using our similarity function $S$ is important for good performance of GraphVAE. Here we study graph matching in isolation to investigate its scalability. To that end, we add Gaussian noise $N ( 0 , \epsilon _ { A } ) , N ( 0 , \epsilon _ { E } ) , N ( 0 , \epsilon _ { F } )$ to each tensor of input graph $G$ , truncating and renormalizing to keep their probabilistic interpretation, to create its noisy version $G _ { N }$ . We are interested in the quality of matching between self, $P [ G , G ]$ , using noisy assignment matrix $X$ between $G$ and $G _ { N }$ . The advantage to naive checking $X$ for identity is the invariance to permutation of equivalent nodes. + +In Table 2 we vary $k$ and $\epsilon$ for each tensor separately and report mean accuracies (computed in the same fashion as losses in Equation 3) over 100 random samples from ZINC with size up to $k$ nodes. While we observe an expected fall of accuracy with stronger noise, the behavior is fairly robust with respect to increasing $k$ at a fixed noise level, the most sensitive being the adjacency matrix. Note that accuracies are not comparable across tables due to different dimensionalities of random variables. We may conclude that the quality of the matching process is not a major hurdle to scalability. + +# 5 CONCLUSION + +In this work we addressed the problem of generating graphs from a continuous embedding in the context of variational autoencoders. We evaluated our method on two molecular datasets of different maximum graph size. While we achieved to learn embedding of reasonable quality on small molecules, our decoder had a hard time capturing complex chemical interactions for larger molecules. Nevertheless, we believe our method is an important initial step towards more powerful decoders and will spark interesting in the community. + +There are many avenues to follow for future work. Besides the obvious desire to improve the current method (for example, by incorporating a more powerful prior distribution or adding a recurrent mechanism for correcting mistakes), we would like to extend it beyond a proof of concept by applying it to real problems in chemistry, such as optimization of certain properties or predicting chemical reactions. An advantage of a graph-based decoder compared to SMILES-based decoder is the possibility to predict detailed attributes of atoms and bonds in addition to the base structure, which might be useful in these tasks. 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In AAAI, 2017. + +# APPENDIX + +# A MAX-POOLING MATCHING + +In this section we briefly review max-pooling matching algorithm of Cho et al. (2014). In its relaxed form, a continuous correspondence matrix $X ^ { * } \in [ 0 , 1 ] ^ { k \times n }$ between nodes of graphs $G$ and $\widetilde { G }$ is determined based on similarities of node pairs $i , j \in G$ and $a , b \in { \widetilde { G } }$ represented as matrix elements $S _ { i a ; j b } \in \mathbb { R } ^ { + }$ . + +Let $\mathbf { x } ^ { * }$ denote the column-wise replica of $X ^ { * }$ . The relaxed graph matching problem is expressed as quadratic programming task $\mathbf { x } ^ { * } = \arg \operatorname* { m a x } _ { \mathbf { x } } \mathbf { x } ^ { T } S \mathbf { x }$ such that $\textstyle \sum _ { i = 1 } ^ { n } \mathbf { x } _ { i a } \ \leq \ 1$ , $\textstyle \sum _ { a = 1 } ^ { k } \mathbf { x } _ { i a } \ \leq \ 1$ and $\mathbf { x } \in [ 0 , 1 ] ^ { k n }$ . The optimization strategy of choice is derived to be equivalent to the power method with iterative update rule $\mathbf { x } ^ { ( t + 1 ) } = S \mathbf { x } ^ { ( t ) } / | | S \mathbf { x } ^ { ( t ) } | | _ { 2 }$ . The starting correspondences $\mathbf { x } ^ { ( 0 ) }$ are initialized as uniform and the rule is iterated until convergence; in our use case we run for a fixed amount of iterations. + +In the context of graph matching, the matrix-vector product $S \mathbf { x }$ can be interpreted as sum-pooling over match candidates: $\begin{array} { r } { \mathbf { x } _ { i a } \gets \bar { \mathbf { x } } _ { i a } S _ { i a ; i a } + \sum _ { j \in N _ { i } } \bar { \sum _ { b \in N _ { a } } } \mathbf { x } _ { j b } S _ { i a ; j b } } \end{array}$ , where $N _ { i }$ and $N _ { a }$ denote the set of neighbors of node $i$ and $a$ . The authors argue that this formulation is strongly influenced by uninformative or irrelevant elements and propose a more robust max-pooling version, which considers only the best pairwise similarity from each neighbor: $\begin{array} { r } { \mathbf { x } _ { i a } \gets \mathbf { x } _ { i a } S _ { i a ; i a } + \sum _ { j \in N _ { i } } \operatorname* { m a x } _ { b \in N _ { a } } \mathbf { x } _ { j b } S _ { i a ; j b } } \end{array}$ . + +Table 3: Performance on conditional and unconditional QM9 models with implicit node probabilities. Improvement with respect to Table 1 is emphasized in italics. + +
log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs/imp c = 20-0.784-0.9190.5720.4820.2380.718
Ours/imp c = 40-0.671-0.7760.6110.5180.3070.665
Ours/imp c = 60-0.618-0.7140.5660.4480.4160.710
Ours/imp c = 80-0.627-0.7130.5830.4510.4750.681
'puoounOurs/imp c = 20-0.857-1.0910.5330.5330.2280.610
Ours/imp c = 40-0.737-0.9320.5620.5620.4200.758
Ours/imp c = 60-0.634-0.7970.5870.5870.4590.730
Ours/imp c = 80-0.642-0.7770.5710.5710.5200.719
+ +# B IMPLICIT NODE PROBABILITIES + +Our decoder assumes independence of node and edge probabilities, which allows for isolated nodes or edges. Making further use of the fact that molecules are connected graphs, we investigate the effect of making node probabilities a function of edge probabilities in this section. Specifically, we define the probability for node $a$ as that of its most probable edge: $\widetilde { A } _ { a , a } = \operatorname* { m a x } _ { b } \widetilde { A } _ { a , b }$ . + +The evaluation on QM9 in Table 3 shows a clear improvement in Valid, Accurate, and Novel metrics in both the conditional and unconditional setting. However, this is paid for by lower variability and higher reconstruction loss. This indicates that while the new constraint is useful, the model cannot fully cope with it. Moreover, we have seen no improvement on ZINC dataset. + +# C UNREGULARIZED AUTOENCODER + +The regularization in VAE works against achieving perfect reconstruction of training data, especially for small embedding sizes. To understand the reconstruction ability of our architecture, we train it as unregularized in this section, i.e. with a deterministic encoder and without KL-divergence term in Equation 1. + +Unconditional models for QM9 achieve mean test log-likelihood $\log p _ { \theta } ( G | \mathbf { z } )$ of roughly $- 0 . 3 7$ (about $- 0 . 5 0$ for the implicit model in Appendix B) for all $c \in \{ 2 0 , 4 0 , 6 0 , 8 0 \}$ . While these loglikelihoods are significantly higher than in Tables 1 and 3, our architecture can not achieve perfect reconstruction of inputs. We were successful to increase training log-likelihood to zero only on fixed small training sets of hundreds of examples, where the network could overfit. This indicates that the network has problems finding generally valid rules for assembly of output tensors. \ No newline at end of file diff --git a/parse/train/SJlhPMWAW/SJlhPMWAW_content_list.json b/parse/train/SJlhPMWAW/SJlhPMWAW_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..358fcf4de3725a44929eed5405200216ff55c077 --- /dev/null +++ b/parse/train/SJlhPMWAW/SJlhPMWAW_content_list.json @@ -0,0 +1,1496 @@ +[ + { + "type": "text", + "text": "GRAPHVAE: TOWARDS GENERATION OF SMALLGRAPHS USING VARIATIONAL AUTOENCODERS", + "text_level": 1, + "bbox": [ + 176, + 98, + 821, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep learning on graphs has become a popular research topic with many applications. However, past work has concentrated on learning graph embedding tasks only, which is in contrast with advances in generative models for images and text. Is it possible to transfer this progress to the domain of graphs? We propose to sidestep hurdles associated with linearization of such discrete structures by having a decoder output a probabilistic fully-connected graph of a predefined maximum size directly at once. Our method is formulated as a variational autoencoder. We evaluate on the challenging task of conditional molecule generation. ", + "bbox": [ + 232, + 267, + 764, + 378 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 406, + 336, + 421 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep learning on graphs has very recently become a popular research topic, with useful applications across fields such as chemistry (Gilmer et al., 2017), medicine (Ktena et al.), or computer vision (Simonovsky & Komodakis, 2017). Past work has concentrated on learning graph embedding tasks so far, i.e. encoding an input graph into a vector representation. This is in stark contrast with fastpaced advances in generative models for images and text, which have seen massive rise in quality of generated samples. Hence, it is an intriguing question how one can transfer this progress to the domain of graphs, i.e. their decoding from a vector representation. Moreover, the desire for such a method has been mentioned in the past by Gomez-Bombarelli et al. (2016). ´ ", + "bbox": [ + 174, + 438, + 825, + 549 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "However, learning to generate graphs is a difficult problem for methods based on gradient optimization, as graphs are discrete structures. Incremental construction involves discrete decisions, which are not differentiable. Unlike sequence (text) generation, graphs can have arbitrary connectivity and there is no clear best way how to linearize their construction in a sequence of steps. ", + "bbox": [ + 176, + 556, + 823, + 612 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work, we propose to sidestep these hurdles by having the decoder output a probabilistic fully-connected graph of a predefined maximum size directly at once. In a probabilistic graph, the existence of nodes and edges, as well as their attributes, are modeled as independent random variables. The method is formulated in the framework of variational autoencoders (VAE) by Kingma & Welling (2013). ", + "bbox": [ + 174, + 619, + 823, + 689 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We demonstrate our method, coined GraphVAE, in cheminformatics on the task of molecule generation. Molecular datasets are a challenging but convenient testbed for our generative model, as they easily allow for both qualitative and quantitative tests of decoded samples. While our method is applicable for generating smaller graphs only and its performance leaves space for improvement, we believe our work is an important initial step towards powerful and efficient graph decoders. ", + "bbox": [ + 174, + 695, + 825, + 766 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 786, + 339, + 803 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Graph Decoders. Graph generation has been largely unexplored in deep learning. The closest work to ours is by Johnson (2017), who incrementally constructs a probabilistic (multi)graph as a world representation according to a sequence of input sentences to answer a query. While our model also outputs a probabilistic graph, we do not assume having a prescribed order of construction transformations available and we formulate the learning problem as an autoencoder. ", + "bbox": [ + 176, + 819, + 823, + 888 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "$\\mathrm { X u }$ et al. (2017) learns to produce a scene graph from an input image. They construct a graph from a set of object proposals, provide initial embeddings to each node and edge, and use message passing to obtain a consistent prediction. In contrast, our method is a generative model which produces a probabilistic graph from a single opaque vector, without specifying the number of nodes or the structure explicitly. ", + "bbox": [ + 174, + 895, + 821, + 924 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/bd2e26609369b1d21ef49469a2b2a5f5cab0a4cffa4eac6081c1771bbc4a90cd.jpg", + "image_caption": [ + "Figure 1: Illustration of the proposed variational graph autoencoder in its conditional form. Starting from a discrete attributed graph $G = ( A , E , F )$ on $n$ nodes (e.g. a representation of propylene oxide), stochastic graph encoder $q _ { \\phi } ( \\mathbf { z } | G )$ embeds the graph into continuous representation $\\mathbf { z }$ . Given a point in the latent space, our novel graph decoder $p _ { \\boldsymbol { \\theta } } ( G | \\mathbf { z } )$ outputs a probabilistic fully-connected graph $\\widetilde { G } = ( \\widetilde { A } , \\widetilde { E } , \\widetilde { F } )$ on predefined $k \\geq n$ nodes, from which discrete samples may be drawn. The process can be conditioned on label $\\mathbf { y }$ for controlled sampling at test time. Reconstruction ability of the autoencoder is facilitated by approximate graph matching for aligning $G$ with $\\widetilde { G }$ . " + ], + "image_footnote": [], + "bbox": [ + 173, + 101, + 826, + 277 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 441, + 823, + 484 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Related work pre-dating deep learning includes random graphs (Erdos & Renyi, 1960; Barab ´ asi & ´ Albert, 1999), stochastic blockmodels (Snijders & Nowicki, 1997), or state transition matrix learning (Gong & Xiang, 2003). ", + "bbox": [ + 176, + 491, + 823, + 532 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Discrete Data Decoders. Text is the most common discrete representation. Generative models there are usually trained by teacher forcing (Williams & Zipser, 1989), which avoids the need to backpropagate through output discretization by feeding the ground truth instead of the past sample at each step. Recently, efforts have been made to overcome this problem. Notably, computing a differentiable approximation using Gumbel distribution (Kusner & Hernandez-Lobato, 2016) or ´ bypassing the problem by learning a stochastic policy in reinforcement learning (Yu et al., 2017). Our work also circumvents the non-differentiability problem, namely by formulating the loss on a probabilistic graph. ", + "bbox": [ + 173, + 549, + 825, + 661 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Molecule Decoders. Generative models may become promising for de novo design of molecules fulfilling certain criteria by being able to search for them over a continuous embedding space (Olivecrona et al., 2017). With that in mind, we propose a conditional version of our model. While molecules have an intuitive representation as graphs, the field has had to resort to textual representations with fixed syntax, e.g. so-called SMILES strings, to exploit recent progress made in text generation with RNNs (Olivecrona et al., 2017; Segler et al., 2017; Gomez-Bombarelli et al., 2016). ´ As their syntax is brittle, many invalid strings tend to be generated, which has been recently addressed by Kusner et al. (2017) by incorporating grammar rules into decoding. While encouraging, their approach does not guarantee semantic (chemical) validity, similarly as our method. ", + "bbox": [ + 174, + 676, + 825, + 801 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3 METHOD ", + "text_level": 1, + "bbox": [ + 176, + 821, + 281, + 838 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We approach the task of graph generation by devising a neural network able to translate vectors in a continuous code space to graphs. Our main idea is to output a probabilistic fully-connected graph and use a standard graph matching algorithm to align it to the ground truth. The proposed method is formulated in the framework of variational autoencoders (VAE) by Kingma & Welling (2013), although other forms of regularized autoencoders would be equally suitable (Makhzani et al., 2015; ", + "bbox": [ + 174, + 854, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Li et al., 2015a). We briefly recapitulate VAE below and continue with introducing our novel graph decoder together with an appropriate loss function. ", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 VARIATIONAL AUTOENCODER ", + "text_level": 1, + "bbox": [ + 176, + 148, + 423, + 164 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let $G = ( A , E , F )$ be a graph specified with its adjacency matrix $A$ , edge attribute tensor $E$ , and node attribute matrix $F$ . We wish to learn an encoder and a decoder to map between the space of graphs $G$ and their continuous embedding $\\mathbf { z } \\in \\mathbb { R } ^ { c }$ , see Figure 1. In the probabilistic setting of a VAE, the encoder is defined by a variational posterior $q _ { \\phi } ( \\mathbf { z } | G )$ and the decoder by a generative distribution $p _ { \\boldsymbol { \\theta } } ( G | \\mathbf { z } )$ , where $\\phi$ and $\\theta$ are learned parameters. Furthermore, there is a prior distribution $p ( \\mathbf { z } )$ imposed on the latent code representation as a regularization; we use a simplistic isotropic Gaussian prior $p ( \\mathbf { z } ) = N ( 0 , I )$ . The whole model is trained by minimizing the upper bound on negative log-likelihood $- \\log p _ { \\theta } ( G )$ (Kingma & Welling, 2013): ", + "bbox": [ + 173, + 174, + 825, + 287 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/dbfc6e86a8049448c804182169a12020fcf065d4c786eacbb40e935b670e65e8.jpg", + "text": "$$\n\\mathcal { L } ( \\phi , \\theta ; G ) = \\mathbb { E } _ { q _ { \\phi } ( \\mathbf { z } | G ) } [ - \\log p _ { \\theta } ( G | \\mathbf { z } ) ] + \\mathrm { K L } [ q _ { \\phi } ( \\mathbf { z } | G ) | | p ( \\mathbf { z } ) ]\n$$", + "text_format": "latex", + "bbox": [ + 300, + 305, + 697, + 324 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The first term of $\\mathcal { L }$ , the reconstruction loss, enforces high similarity of sampled generated graphs to the input graph $G$ . The second term, KL-divergence, regularizes the code space to allow for sampling of $\\mathbf { z }$ directly from $p ( \\mathbf { z } )$ instead from $q _ { \\phi } ( \\bar { \\bf z } | G )$ later. The dimensionality of $\\mathbf { z }$ is usually fairly small so that the autoencoder is encouraged to learn a high-level compression of the input instead of learning to simply copy any given input. While the regularization is independent on the input space, the reconstruction loss must be specifically designed for each input modality. In the following, we introduce our graph decoder together with an appropriate reconstruction loss. ", + "bbox": [ + 173, + 332, + 825, + 431 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 PROBABILISTIC GRAPH DECODER ", + "text_level": 1, + "bbox": [ + 176, + 446, + 450, + 462 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Graphs are discrete objects, ultimately. While this does not pose a challenge for encoding, demonstrated by the recent developments in graph convolution networks (Gilmer et al., 2017), graph generation has been an open problem so far. In a related task of text sequence generation, the currently dominant approach is character-wise or word-wise prediction (Bowman et al., 2016). However, graphs can have arbitrary connectivity and there is no clear way how to linearize their construction in a sequence of steps1. On the other hand, iterative construction of discrete structures during training without step-wise supervision involves discrete decisions, which are not differentiable and therefore problematic for back-propagation. ", + "bbox": [ + 174, + 472, + 825, + 585 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Fortunately, the task can become much simpler if we restrict the domain to the set of all graphs on maximum $k$ nodes, where $k$ is fairly small (in practice up to the order of tens). Under this assumption, handling dense graph representations is still computationally tractable. We propose to make the decoder output a probabilistic fully-connected graph $\\widetilde { G } = ( \\widetilde { A } , \\widetilde { E } , \\widetilde { F } )$ on $k$ nodes at once. This effectively sidesteps both problems mentioned above. ", + "bbox": [ + 174, + 592, + 825, + 664 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In probabilistic graphs, the existence of nodes and edges is modeled as Bernoulli variables, whereas node and edge attributes are multinomial variables. While not discussed in this work, continuous attributes could be easily modeled as Gaussian variables represented by their mean and variance. We assume all variables to be independent. ", + "bbox": [ + 174, + 670, + 825, + 727 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Each tensor of the representation of $\\widetilde { G }$ has thus a probabilistic interpretation. Specifically, the predicted adjacency matrix $\\widetilde { A } \\in [ 0 , 1 ] ^ { k \\times k }$ contains both node probabilities $\\widetilde { A } _ { a , a }$ and edge probabilities $\\widetilde { A } _ { a , b }$ for nodes $a \\neq b$ . The edge attribute tensor $\\widetilde { E } \\in \\mathbb { R } ^ { k \\times k \\times d _ { e } }$ indicates class probabilities for edges and, similarly, the node attribute matrix $\\widetilde { F } \\in \\mathbb { R } ^ { k \\times d _ { n } }$ contains class probabilities for nodes. ", + "bbox": [ + 174, + 734, + 825, + 801 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The decoder itself is deterministic. Its architecture is a simple multi-layer perceptron (MLP) with three outputs in its last layer. Sigmoid activation function is used to compute $\\widetilde { A }$ , whereas edge- and node-wise softmax is applied to obtain $\\widetilde { E }$ and $\\widetilde { F }$ , respectively. At test time, we are often interested in a (discrete) point estimate of $\\widetilde { G }$ , which can be obtained by taking edge- and node-wise argmax in $\\widetilde { A } , \\widetilde { E }$ , and $\\widetilde { F }$ . Note that this can result in a discrete graph on less than $k$ nodes. ", + "bbox": [ + 174, + 808, + 825, + 887 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.3 RECONSTRUCTION LOSS ", + "text_level": 1, + "bbox": [ + 174, + 103, + 387, + 118 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Given a particular of a discrete input graph $G$ on $n \\leq k$ nodes and its probabilistic reconstruction $\\widetilde { G }$ on $k$ nodes, evaluation of Equation 1 requires computation of likelihood $p _ { \\theta } ( G | \\mathbf { z } ) = P ( G | \\widetilde { G } )$ . ", + "bbox": [ + 174, + 128, + 820, + 161 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Since no particular ordering of nodes is imposed in either $\\widetilde { G }$ or $G$ and matrix representation of graphs is not invariant to permutations of nodes, comparison of two graphs is hard. However, approximate graph matching described further in Subsection 3.4 can obtain a binary assignment matrix $X \\in$ $\\{ 0 , 1 \\} ^ { k \\times n }$ , where $X _ { a , i } = 1$ only if node $a \\in { \\widetilde { G } }$ is assigned to $i \\in G$ and $X _ { a , i } = 0$ otherwise. ", + "bbox": [ + 173, + 167, + 825, + 229 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Knowledge of $X$ allows to map information between both graphs. Specifically, input adjacency matrix is mapped to the predicted graph as $A ^ { \\prime } = X A X ^ { T }$ , whereas the predicted node attribute matrix and slices of edge attribute matrix are transferred to the input graph as $\\widetilde { F } ^ { \\prime } = X ^ { T } \\widetilde { F }$ and $\\widetilde { E } _ { \\cdot , \\cdot , l } ^ { \\prime } = X ^ { T } \\widetilde { E } _ { \\cdot , \\cdot , l } X$ . The maximum likelihood estimates, i.e. cross-entropy, of respective variables are as follows: ", + "bbox": [ + 174, + 234, + 825, + 311 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/731cfe16a61ab5efab121632e0dc8205def68d2db6712206c9152ea2511f6d21.jpg", + "text": "$$\n\\begin{array} { r l } & { \\log p ( { \\cal A } ^ { \\prime } | { \\bf z } ) = 1 / k \\displaystyle \\sum _ { a } { \\cal A } _ { a , a } ^ { \\prime } \\log \\widetilde { { \\cal A } } _ { a , a } + ( 1 - { \\cal A } _ { a , a } ^ { \\prime } ) \\log ( 1 - \\widetilde { { \\cal A } } _ { a , a } ) + } \\\\ & { \\quad \\quad \\quad \\quad + 1 / k ( k - 1 ) \\displaystyle \\sum _ { a \\neq b } { \\cal A } _ { a , b } ^ { \\prime } \\log \\widetilde { { \\cal A } } _ { a , b } + ( 1 - { \\cal A } _ { a , b } ^ { \\prime } ) \\log ( 1 - \\widetilde { { \\cal A } } _ { a , b } ) } \\\\ & { \\log p ( { \\cal F } | { \\bf z } ) = 1 / n \\displaystyle \\sum _ { i } \\log { \\cal F } _ { i , \\cdot } ^ { T } \\widetilde { { \\cal F } } _ { i , \\cdot } ^ { \\prime } } \\\\ & { \\log p ( { \\cal E } | { \\bf z } ) = 1 / ( \\| { \\cal A } \\| _ { 1 } - n ) \\displaystyle \\sum _ { i \\neq j } \\log { \\cal E } _ { i , j , \\cdot } ^ { T } \\widetilde { { \\cal E } } _ { i , j , \\cdot } ^ { \\prime } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 261, + 327, + 736, + 469 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where we assumed that $F$ and $E$ are encoded in one-hot notation. The formulation considers existence of both matched and unmatched nodes and edges but attributes of only the matched ones. Furthermore, averaging over nodes and edges separately has shown beneficial in training as otherwise the edges dominate the likelihood. The overall reconstruction loss is a weighed sum of the previous terms: ", + "bbox": [ + 173, + 477, + 825, + 547 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/d4680a7f1b1577beca3d68c74f158b069bc5d2e898460e426f11954b4554b558.jpg", + "text": "$$\n- \\log p ( G | \\mathbf { z } ) = - \\lambda _ { A } \\log p ( A ^ { \\prime } | \\mathbf { z } ) - \\lambda _ { F } \\log p ( F | \\mathbf { z } ) - \\lambda _ { E } \\log p ( E | \\mathbf { z } )\n$$", + "text_format": "latex", + "bbox": [ + 272, + 566, + 722, + 584 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.4 GRAPH MATCHING ", + "text_level": 1, + "bbox": [ + 174, + 599, + 349, + 614 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The goal of (second-order) graph matching is to find correspondences $X \\in \\{ 0 , 1 \\} ^ { k \\times n }$ between nodes of graphs $G$ and $\\widetilde { G }$ based on the similarities of their node pairs $S : ( i , j ) \\times ( a , b ) \\mathbb { R } ^ { + }$ for $i , j \\in G$ and $a , b \\in { \\widetilde { G } }$ . It can be expressed as integer quadratic programming problem of similarity maximization over $X$ and is typically approximated by relaxation of $X$ into continuous domain: $X ^ { \\ast } \\in [ 0 , 1 ] ^ { k \\times n }$ (Cho et al., 2014). For our use case, the similarity function is defined as follows: ", + "bbox": [ + 173, + 625, + 826, + 702 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/df9ecfbb485e7073766ec3ac8ea637684d8de0dd50be13111b34fae6c75264f0.jpg", + "text": "$$\n\\begin{array} { r l } & { S ( ( i , j ) , ( a , b ) ) = ( E _ { i , j , . } ^ { T } \\widetilde { E } _ { a , b , . } ) A _ { i , j } \\widetilde { A } _ { a , b } \\widetilde { A } _ { a , a } \\widetilde { A } _ { b , b } [ i \\neq j \\wedge a \\neq b ] + } \\\\ & { \\quad \\quad \\quad + ( F _ { i , \\cdot } ^ { T } \\widetilde { F } _ { a , \\cdot } ) \\widetilde { A } _ { a , a } [ i = j \\wedge a = b ] } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 279, + 717, + 718, + 763 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The first term evaluates similarity between edge pairs and the second term between node pairs, $[ \\cdot ]$ being the Iverson bracket. Note that the scores consider both feature compatibility ( $\\widetilde F$ and $\\widetilde { E }$ ) and existential compatibility $( \\widetilde { A } )$ , which has empirically led to more stable assignments during training. To summarize the motivation behind both Equations 3 and 4, our method aims to find the best graph matching and then further improve on it by gradient descent on the loss. Given the stochastic way of training deep network, we argue that solving the matching step only approximately is sufficient. This is conceptually similar to the approach for learning to output unordered sets by (Vinyals et al., 2015), where the closest ordering of the training data is searched for. ", + "bbox": [ + 173, + 770, + 825, + 890 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In practice, we are looking for a graph matching algorithm robust to noisy correspondences which can be easily implemented on GPU in batch mode. Max-pooling matching (MPM) by Cho et al. ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "(2014) is a simple but effective algorithm following the iterative scheme of power methods, see Appendix A for details. It can be used in batch mode if similarity tensors are zero-padded, i.e. $\\mathsf { \\bar { S } } ( ( i , j ) , ( a , b ) ) = 0$ for $n < i , j \\le k$ , and the amount of iterations is fixed. ", + "bbox": [ + 176, + 103, + 823, + 146 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Max-pooling matching outputs continuous assignment matrix $X ^ { * }$ . Unfortunately, attempts to directly use $X ^ { \\ast }$ instead of $X$ in Equation 3 performed badly, as did experiments with direct maximization of $X ^ { * }$ or soft discretization with softmax or straight-through Gumbel softmax (Jang et al., 2016). We therefore discretize $X ^ { * }$ to $X$ using Hungarian algorithm to obtain a strict one-on-one mapping2. While this operation is non-differentiable, gradient can still flow to the decoder directly through the loss function and training convergence proceeds without problems. Note that this approach is often taken in works on object detection, e.g. (Stewart et al., 2016), where a set of detections need to be matched to a set of ground truth bounding boxes and treated as fixed before computing a differentiable loss. ", + "bbox": [ + 174, + 152, + 825, + 277 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.5 FURTHER DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 296, + 346, + 310 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Encoder. A feed forward network with edge-conditioned graph convolutions (ECC) (Simonovsky & Komodakis, 2017) is used as encoder, although any other graph embedding method is applicable. As our edge attributes are categorical, a single linear layer for the filter generating network in ECC is sufficient. Due to smaller graph sizes no pooling is used in encoder except for global pooling, for which we employ soft attention pooling of Li et al. (2015b). As usual in VAE, we formulate encoder as probabilistic and enforce Gaussian distribution of $q _ { \\phi } ( \\mathbf { z } | G )$ by having the last encoder layer outputs $2 c$ features interpreted as mean and variance, allowing to sample $\\mathbf { z } _ { l } \\sim N ( \\mu _ { l } ( G ) , \\sigma _ { l } ( G ) )$ for $l \\in { 1 , . . , c }$ using the re-parameterization trick (Kingma & Welling, 2013). ", + "bbox": [ + 174, + 323, + 825, + 435 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Disentangled Embedding. In practice, rather than random drawing of graphs, one often desires more control over the properties of generated graphs. In such case, we follow Sohn et al. (2015) and condition both encoder and decoder on label vector $\\mathbf { y }$ associated with each input graph $G$ . Decoder $p _ { \\theta } ( G | \\mathbf { z } , \\mathbf { y } )$ is fed a concatenation of $\\mathbf { z }$ and $\\mathbf { y }$ , while in encoder $q _ { \\phi } ( \\mathbf { z } | G , \\mathbf { y } )$ , y is concatenated to every node’s features just before the graph pooling layer. If the size of latent space $c$ is small, the decoder is encouraged to exploit information in the label. ", + "bbox": [ + 174, + 452, + 825, + 535 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Limitations. The proposed model is expected to be useful only for generating small graphs. This is due to growth of GPU memory requirements and number of parameters $( O ( k ^ { \\bar { 2 } } ) )$ as well matching complexity $( O ( k ^ { 4 } ) )$ with small decrease in quality for high values of $k$ . In Section 4 we demonstrate results for up to $k = 3 8$ . Nevertheless, for many applications even generation of small graphs is still very useful. ", + "bbox": [ + 174, + 553, + 825, + 622 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 EVALUATION ", + "text_level": 1, + "bbox": [ + 176, + 645, + 315, + 660 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We demonstrate our method for the task of molecule generation by evaluating on two large public datasets of organic molecules, QM9 and ZINC. ", + "bbox": [ + 176, + 678, + 823, + 705 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.1 APPLICATION IN CHEMINFORMATICS ", + "text_level": 1, + "bbox": [ + 176, + 724, + 472, + 738 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Quantitative evaluation of generative models of images and texts has been troublesome (Theis et al., 2015), as it very difficult to measure realness of generated samples in an automated and objective way. Thus, researchers frequently resort there to qualitative evaluation and embedding plots. However, qualitative evaluation of graphs can be very unintuitive for humans to judge unless the graphs are planar and fairly simple. ", + "bbox": [ + 174, + 751, + 823, + 820 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Fortunately, we found graph representation of molecules, as undirected graphs with atoms as nodes and bonds as edges, to be a convenient testbed for generative models. On one hand, generated graphs can be easily visualized in standardized structural diagrams. On the other hand, chemical validity of graphs, as well as many further properties a molecule can fulfill, can be checked using software packages (SanitizeMol in RDKit) or simulations. This makes both qualitative and quantitative tests possible. ", + "bbox": [ + 174, + 828, + 823, + 883 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Chemical constraints on compatible types of bonds and atom valences make the space of valid graphs complicated and molecule generation challenging. In fact, a single addition or removal of edge or change in atom or bond type can make a molecule chemically invalid. Comparably, flipping a single pixel in MNIST-like number generation problem is of no issue. ", + "bbox": [ + 174, + 138, + 825, + 194 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To help the network in this application, we introduce three remedies. First, we make the decoder output symmetric $\\widetilde { A }$ and $\\widetilde { E }$ by predicting their (upper) triangular parts only, as undirected graphs are sufficient representation for molecules. Second, we use prior knowledge that molecules are connected and, at test time only, construct maximum spanning tree on the set of probable nodes $\\{ a : \\widetilde { A } _ { a , a } \\geq 0 . 5 \\}$ in order to include its edges $( a , b )$ in the discrete pointwise estimate of the graph even if $\\widetilde { A } _ { a , b } < 0 . 5$ originally. Third, we do not generate Hydrogen explicitly and let it be added as ”padding” during chemical validity check. ", + "bbox": [ + 174, + 202, + 825, + 308 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 QM9 DATASET ", + "text_level": 1, + "bbox": [ + 174, + 323, + 320, + 338 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "QM9 dataset (Ramakrishnan et al., 2014) contains about $1 3 4 \\mathrm { k }$ organic molecules of up to 9 heavy (non Hydrogen) atoms with 4 distinct atomic numbers and 4 bond types, we set $k = 9$ , $d _ { e } = 4$ and $d _ { n } = 4$ . We set aside $1 0 \\mathrm { k }$ samples for testing and $1 0 \\mathrm { k }$ for validation (model selection). ", + "bbox": [ + 174, + 349, + 825, + 391 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We compare our unconditional model to the character-based generator of Gomez-Bombarelli et al. ´ (2016) (CVAE) and the grammar-based generator of Kusner et al. (2017) (GVAE). We used the code and architecture in Kusner et al. (2017) for both baselines, adapting the maximum input length to the smallest possible. In addition, we demonstrate a conditional generative model for an artificial task of generating molecules given a histogram of heavy atoms as 4-dimensional label y, the success of which can be easily validated. ", + "bbox": [ + 174, + 398, + 825, + 482 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Setup. The encoder has two graph convolutional layers (32 and 64 channels) with identity connection, batchnorm, and ReLU; followed by soft attention pooling (Li et al., 2015b) with 128 channels and a fully-connected layer (FCL) to output $( \\mu , \\sigma )$ . The decoder has 3 FCLs (128, 256, and 512 channels) with batchnorm and ReLU; followed by parallel triplet of FCLs to output graph tensors. We set $c = 4 0$ , $\\lambda _ { A } = \\lambda _ { F } = \\lambda _ { E } = 1$ , batch size 32, 75 MPM iterations and train for 25 epochs with Adam with learning rate 1e-3 and $\\beta _ { 1 } { = } 0 . 5$ . ", + "bbox": [ + 173, + 496, + 825, + 580 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Embedding Visualization. To visually judge the quality and smoothness of the learned embedding $\\mathbf { z }$ of our model, we may traverse it in two ways: along a slice and along a line. For the former, we randomly choose two $c$ -dimensional orthonormal vectors and sample $\\mathbf { z }$ in regular grid pattern over the induced 2D plane. For the latter, we randomly choose two molecules $G ^ { ( 1 ) } , G ^ { ( 2 ) }$ of the same label from test set and interpolate between their embeddings $\\mu ( G ^ { ( 1 ) } ) , \\mu ( G ^ { ( 2 ) } )$ . This also evaluates the encoder, and therefore benefits from low reconstruction error. ", + "bbox": [ + 174, + 594, + 825, + 681 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We plot two planes in Figure 2, for a frequent label (left) and a less frequent label in QM9 (right). Both images show a varied and fairly smooth mix of molecules. The left image has many valid samples broadly distributed across the plane, as presumably the autoencoder had to fit a large portion of database into this space. The right exhibits stronger effect of regularization, as valid molecules tend to be only around center. ", + "bbox": [ + 174, + 688, + 823, + 757 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "An example of several interpolations is shown in Figure 3. We can find both meaningful (1st, 2nd and 4th row) and less meaningful transitions, though many samples on the lines do not form chemically valid compounds. ", + "bbox": [ + 176, + 763, + 823, + 806 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Decoder Quality Metrics. The quality of a conditional decoder can be evaluated by the validity and variety of generated graphs. For a given label $\\mathbf { y } ^ { ( l ) }$ , we draw $n _ { s } = 1 0 ^ { 4 }$ samples $\\bar { \\mathbf { z } } ^ { ( l , s ) } \\sim p ( \\mathbf { z } )$ and compute the discrete point estimate of their decodings $\\hat { G } ^ { ( l , s ) } = \\arg \\operatorname* { m a x } p _ { \\boldsymbol { \\theta } } \\big ( G | \\mathbf { z } ^ { ( l , s ) } , \\mathbf { y } ^ { ( l ) } \\big )$ . ", + "bbox": [ + 174, + 820, + 825, + 867 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Let $V ^ { ( l ) }$ be the list of chemically valid molecules from $\\hat { G } ^ { ( l , s ) }$ and $C ^ { ( l ) }$ be the list of chemically valid molecules with atom histograms equal to $\\mathbf { y } ^ { ( l ) }$ . We are interested in ratios $\\mathrm { V a l i d } ^ { ( l ) } = | V ^ { ( l ) } | / n _ { s }$ and Accurate $^ { ( l ) } = | C ^ { ( l ) } | / n _ { s }$ . Furthermore, let $\\mathrm { U n i q u e } ^ { ( l ) } = | \\mathrm { s e t } ( { \\cal C } ^ { ( l ) } ) | / | { \\cal C } ^ { ( l ) } |$ be the fraction of unique correct graphs and $\\mathrm { N o v e l } ^ { ( l ) } = 1 - | \\mathrm { s e t } ( C ^ { ( l ) } ) \\cap \\mathrm { Q M } 9 | / | \\mathrm { s e t } ( C ^ { ( l ) } ) |$ the fraction of novel out-of-dataset graphs; we define $\\mathrm { U n i q u e } ^ { ( l ) } = 0$ and $\\mathrm { N o v e l } ^ { ( l ) } = 0$ if $| C ^ { ( l ) } | = 0$ . Finally, the introduced metrics are aggregated by frequencies of labels in QM9, e.g. $\\begin{array} { r } { \\mathrm { V a l i d } = \\sum _ { l } \\mathrm { V a l i d } ^ { ( l ) } \\mathrm { f r e q } ( \\mathbf { y } ^ { ( l ) } ) } \\end{array}$ . Unconditional decoders are evaluated by assuming there is just a single label, therefore Valid $=$ Accurate. ", + "bbox": [ + 174, + 875, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/96f5127b3c5447296d83b5f8ea28fe7690ee2904169d092e93b12b4baf14d311.jpg", + "image_caption": [ + "Figure 2: Decodings of latent space points sampled over a random 2D plane in z-space of $c = 4 0$ (within 5 units from center of coordinates). Left: Samples conditioned on $7 \\mathbf { x }$ Carbon, $1 \\mathbf { x }$ Nitrogen, 1x Oxygen ( $12 \\%$ QM9). Right: Samples conditioned on $5 \\mathbf { x }$ Carbon, 1x Nitrogen, $3 \\mathbf { x }$ Oxygen $2 . 6 \\%$ QM9). Color legend as in Figure 3. " + ], + "image_footnote": [], + "bbox": [ + 174, + 99, + 820, + 349 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/71807bde150e0d214ffd3dad47fac6f2df24b76c5dc70e5da8b23c84a335fab7.jpg", + "image_caption": [ + "Figure 3: Linear interpolation between row-wise pairs of randomly chosen molecules in $\\mathbf { z } \\mathrm { . }$ -space of $c = 4 0$ . Color legend: encoder inputs (green), chemically invalid graphs (red), valid graphs with wrong label (blue), valid and correct (white). " + ], + "image_footnote": [], + "bbox": [ + 238, + 446, + 750, + 688 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 782, + 825, + 848 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In Table 1, we can see that on average $50 \\%$ of generated molecules are chemically valid and, in the case of conditional models, about $40 \\%$ have the correct label which the decoder was conditioned on. Larger embedding sizes $c$ are less regularized, demonstrated by a higher number of Unique samples and by lower accuracy of the conditional model, as the decoder is forced less to rely on actual labels. The ratio of Valid samples shows less clear behavior, likely because the discrete performance is not directly optimized for. For all models, it is remarkable that about $60 \\%$ of generated molecules are out of the dataset, i.e. the network has never seen them during training. In Appendix B we additionally trade uniqueness for validity. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/fcf6652f1bedfd3dad7bd720cc91208d180a168901119c0c38b21e5e65d6d120.jpg", + "table_caption": [ + "Table 1: Performance on conditional and unconditional QM9 models evaluated by mean testtime reconstruction log-likelihood $( \\log p _ { \\theta } ( G | \\mathbf { z } ) )$ , mean test-time evidence lower bound (ELBO), and decoding quality metrics (Section 4.2). Baselines CVAE (Gomez-Bombarelli et al., 2016) and ´ GVAE(Kusner et al., 2017) are listed only for the embedding size with the highest Valid. " + ], + "table_footnote": [], + "table_body": "
log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs c = 20-0.578-0.7220.5650.4670.3140.598
Ours c = 40-0.504-0.6170.5110.4160.4840.635
Ours c = 60-0.492-0.5850.5200.4060.5830.613
Ours c = 80-0.475-0.5570.4580.3530.6660.661
Ours c = 20-0.660-0.9160.4850.4850.4570.575
marrniruirrnOurs c = 40-0.537-0.7440.5420.5420.6180.617
Ours c = 60-0.4860.5170.5170.6950.570
Ours c = 80-0.482-0.656 -0.6280.5570.5570.7600.616
NoGM c = 80
CVAE c = 60-2.388-2.5530.810 0.1030.8100.2410.610
GVAE c = 2010.6020.1030.6750.900
110.6020.0930.809
", + "bbox": [ + 207, + 101, + 787, + 295 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 395, + 825, + 438 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Looking at the baselines, CVAE can output only very few valid samples as expected, while GVAE generates the highest number of valid samples $( 6 0 \\% )$ but of very low variance (less than $10 \\%$ ). Additionally, we investigate the importance of graph matching by using identity assignment $X$ instead and thus learning to reproduce particular node permutations in the training set, which correspond to the canonical ordering of SMILES strings from rdkit. This ablated model (denoted as NoGM in Table 1) produces many valid samples of lower variety and, surprisingly, outperforms GVAE in this regard. In comparison, our model can achieve good performance in both metrics at the same time. ", + "bbox": [ + 174, + 444, + 825, + 542 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Likelihood. Besides the application-specific metric introduced above, we also report evidence lower bound (ELBO) commonly used in VAE literature, which corresponds to $- { \\mathcal { L } } ( { \\bar { \\phi } } , \\theta ; G )$ in our notation. In Table 1, we state mean bounds over train and test set, using a single $\\mathbf { z }$ sample per graph. We observe both reconstruction loss and KL-divergence decrease due to larger $c$ providing more freedom. However, there seems to be no strong correlation between ELBO and Valid, which makes model selection somewhat difficult. ", + "bbox": [ + 174, + 559, + 825, + 642 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3 ZINC DATASET ", + "text_level": 1, + "bbox": [ + 174, + 660, + 325, + 675 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "ZINC dataset (Irwin et al., 2012) contains about 250k drug-like organic molecules of up to 38 heavy atoms with 9 distinct atomic numbers and 4 bond types, we set $k = 3 8$ , $d _ { e } = 4$ and $d _ { n } = 9$ and use the same split strategy as with QM9. We investigate the degree of scalability of an unconditional generative model. ", + "bbox": [ + 174, + 686, + 825, + 743 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Setup. The setup is equivalent as for QM9 but with a wider encoder (64, 128, 256 channels). ", + "bbox": [ + 171, + 760, + 790, + 775 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Decoder Quality Metrics. Our best model with $c = 4 0$ has archived $\\mathrm { V a l i d } = 0 . 1 3 5$ , which is clearly worse than for QM9. For comparison, CVAE failed to generated any valid sample, while GVAE achieved $\\mathrm { V a l i d } = 0 . 3 5 7$ (models provided by Kusner et al. (2017), $c = 5 6$ ). ", + "bbox": [ + 173, + 790, + 821, + 833 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We attribute such a low performance to a generally much higher chance of producing a chemicallyrelevant inconsistency (number of possible edges growing quadratically). To confirm the relationship between performance and graph size $k$ , we kept only graphs not larger than $k = 2 0$ nodes, corresponding to $21 \\%$ of ZINC, and obtained $\\mathrm { V a l i d } = 0 . 3 4 1$ (and $\\mathrm { V a l i d } = 0 . 1 8 5$ for $k = 3 0$ nodes, $92 \\%$ of ZINC). To verify that the problem is likely not caused by our proposed graph matching loss, we synthetically evaluate it in the following. ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/ef1d1666915e01d5806cb8d032d11f5d3bc6723630450e6d9a53d8d5c4b69b29.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Noisek =15k =20k =25k =30k =35k = 40
∈A,E,F =099.5599.5299.4599.499.4799.46
∈A = 0.490.9589.5586.6487.2587.0786.78
∈A= 0.882.1481.0179.6279.6779.0778.69
€E=0.497.1196.4295.6595.9095.6995.69
€E=0.892.0390.7689.7689.7088.3489.40
€F=0.498.3298.2397.6498.2898.2497.90
∈F=0.897.2697.0096.6096.9196.5697.17
", + "bbox": [ + 246, + 101, + 746, + 247 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Table 2: Mean accuracy of matching ZINC graphs to their noisy counterparts in a synthetic benchmark as a function of maximum graph size $k$ . ", + "bbox": [ + 174, + 265, + 823, + 294 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Matching Robustness. Robust behavior of graph matching using our similarity function $S$ is important for good performance of GraphVAE. Here we study graph matching in isolation to investigate its scalability. To that end, we add Gaussian noise $N ( 0 , \\epsilon _ { A } ) , N ( 0 , \\epsilon _ { E } ) , N ( 0 , \\epsilon _ { F } )$ to each tensor of input graph $G$ , truncating and renormalizing to keep their probabilistic interpretation, to create its noisy version $G _ { N }$ . We are interested in the quality of matching between self, $P [ G , G ]$ , using noisy assignment matrix $X$ between $G$ and $G _ { N }$ . The advantage to naive checking $X$ for identity is the invariance to permutation of equivalent nodes. ", + "bbox": [ + 174, + 323, + 825, + 421 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In Table 2 we vary $k$ and $\\epsilon$ for each tensor separately and report mean accuracies (computed in the same fashion as losses in Equation 3) over 100 random samples from ZINC with size up to $k$ nodes. While we observe an expected fall of accuracy with stronger noise, the behavior is fairly robust with respect to increasing $k$ at a fixed noise level, the most sensitive being the adjacency matrix. Note that accuracies are not comparable across tables due to different dimensionalities of random variables. We may conclude that the quality of the matching process is not a major hurdle to scalability. ", + "bbox": [ + 174, + 428, + 825, + 512 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 536, + 318, + 551 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this work we addressed the problem of generating graphs from a continuous embedding in the context of variational autoencoders. We evaluated our method on two molecular datasets of different maximum graph size. While we achieved to learn embedding of reasonable quality on small molecules, our decoder had a hard time capturing complex chemical interactions for larger molecules. Nevertheless, we believe our method is an important initial step towards more powerful decoders and will spark interesting in the community. ", + "bbox": [ + 174, + 570, + 825, + 654 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "There are many avenues to follow for future work. 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", + "bbox": [ + 173, + 525, + 823, + 554 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Lantao Yu, Weinan Zhang, Jun Wang, and Yong Yu. Seqgan: Sequence generative adversarial nets with policy gradient. In AAAI, 2017. ", + "bbox": [ + 171, + 564, + 823, + 593 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 622, + 263, + 637 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A MAX-POOLING MATCHING ", + "text_level": 1, + "bbox": [ + 176, + 655, + 436, + 671 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "In this section we briefly review max-pooling matching algorithm of Cho et al. (2014). In its relaxed form, a continuous correspondence matrix $X ^ { * } \\in [ 0 , 1 ] ^ { k \\times n }$ between nodes of graphs $G$ and $\\widetilde { G }$ is determined based on similarities of node pairs $i , j \\in G$ and $a , b \\in { \\widetilde { G } }$ represented as matrix elements $S _ { i a ; j b } \\in \\mathbb { R } ^ { + }$ . ", + "bbox": [ + 173, + 688, + 825, + 750 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Let $\\mathbf { x } ^ { * }$ denote the column-wise replica of $X ^ { * }$ . The relaxed graph matching problem is expressed as quadratic programming task $\\mathbf { x } ^ { * } = \\arg \\operatorname* { m a x } _ { \\mathbf { x } } \\mathbf { x } ^ { T } S \\mathbf { x }$ such that $\\textstyle \\sum _ { i = 1 } ^ { n } \\mathbf { x } _ { i a } \\ \\leq \\ 1$ , $\\textstyle \\sum _ { a = 1 } ^ { k } \\mathbf { x } _ { i a } \\ \\leq \\ 1$ and $\\mathbf { x } \\in [ 0 , 1 ] ^ { k n }$ . The optimization strategy of choice is derived to be equivalent to the power method with iterative update rule $\\mathbf { x } ^ { ( t + 1 ) } = S \\mathbf { x } ^ { ( t ) } / | | S \\mathbf { x } ^ { ( t ) } | | _ { 2 }$ . The starting correspondences $\\mathbf { x } ^ { ( 0 ) }$ are initialized as uniform and the rule is iterated until convergence; in our use case we run for a fixed amount of iterations. ", + "bbox": [ + 173, + 755, + 825, + 845 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "In the context of graph matching, the matrix-vector product $S \\mathbf { x }$ can be interpreted as sum-pooling over match candidates: $\\begin{array} { r } { \\mathbf { x } _ { i a } \\gets \\bar { \\mathbf { x } } _ { i a } S _ { i a ; i a } + \\sum _ { j \\in N _ { i } } \\bar { \\sum _ { b \\in N _ { a } } } \\mathbf { x } _ { j b } S _ { i a ; j b } } \\end{array}$ , where $N _ { i }$ and $N _ { a }$ denote the set of neighbors of node $i$ and $a$ . The authors argue that this formulation is strongly influenced by uninformative or irrelevant elements and propose a more robust max-pooling version, which considers only the best pairwise similarity from each neighbor: $\\begin{array} { r } { \\mathbf { x } _ { i a } \\gets \\mathbf { x } _ { i a } S _ { i a ; i a } + \\sum _ { j \\in N _ { i } } \\operatorname* { m a x } _ { b \\in N _ { a } } \\mathbf { x } _ { j b } S _ { i a ; j b } } \\end{array}$ . ", + "bbox": [ + 174, + 852, + 825, + 926 + ], + "page_idx": 10 + }, + { + "type": "table", + "img_path": "images/a76c8185c941b106204a10b31fe2e281f8fa921c9f2ee2e64b6e0b9818bb1045.jpg", + "table_caption": [ + "Table 3: Performance on conditional and unconditional QM9 models with implicit node probabilities. Improvement with respect to Table 1 is emphasized in italics. " + ], + "table_footnote": [], + "table_body": "
log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs/imp c = 20-0.784-0.9190.5720.4820.2380.718
Ours/imp c = 40-0.671-0.7760.6110.5180.3070.665
Ours/imp c = 60-0.618-0.7140.5660.4480.4160.710
Ours/imp c = 80-0.627-0.7130.5830.4510.4750.681
'puoounOurs/imp c = 20-0.857-1.0910.5330.5330.2280.610
Ours/imp c = 40-0.737-0.9320.5620.5620.4200.758
Ours/imp c = 60-0.634-0.7970.5870.5870.4590.730
Ours/imp c = 80-0.642-0.7770.5710.5710.5200.719
", + "bbox": [ + 199, + 101, + 794, + 248 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B IMPLICIT NODE PROBABILITIES ", + "text_level": 1, + "bbox": [ + 176, + 319, + 475, + 335 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Our decoder assumes independence of node and edge probabilities, which allows for isolated nodes or edges. Making further use of the fact that molecules are connected graphs, we investigate the effect of making node probabilities a function of edge probabilities in this section. Specifically, we define the probability for node $a$ as that of its most probable edge: $\\widetilde { A } _ { a , a } = \\operatorname* { m a x } _ { b } \\widetilde { A } _ { a , b }$ . ", + "bbox": [ + 174, + 351, + 825, + 410 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The evaluation on QM9 in Table 3 shows a clear improvement in Valid, Accurate, and Novel metrics in both the conditional and unconditional setting. However, this is paid for by lower variability and higher reconstruction loss. This indicates that while the new constraint is useful, the model cannot fully cope with it. Moreover, we have seen no improvement on ZINC dataset. ", + "bbox": [ + 174, + 416, + 825, + 472 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "C UNREGULARIZED AUTOENCODER ", + "text_level": 1, + "bbox": [ + 174, + 493, + 490, + 508 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The regularization in VAE works against achieving perfect reconstruction of training data, especially for small embedding sizes. To understand the reconstruction ability of our architecture, we train it as unregularized in this section, i.e. with a deterministic encoder and without KL-divergence term in Equation 1. ", + "bbox": [ + 174, + 523, + 825, + 580 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Unconditional models for QM9 achieve mean test log-likelihood $\\log p _ { \\theta } ( G | \\mathbf { z } )$ of roughly $- 0 . 3 7$ (about $- 0 . 5 0$ for the implicit model in Appendix B) for all $c \\in \\{ 2 0 , 4 0 , 6 0 , 8 0 \\}$ . While these loglikelihoods are significantly higher than in Tables 1 and 3, our architecture can not achieve perfect reconstruction of inputs. We were successful to increase training log-likelihood to zero only on fixed small training sets of hundreds of examples, where the network could overfit. This indicates that the network has problems finding generally valid rules for assembly of output tensors. ", + "bbox": [ + 174, + 587, + 825, + 671 + ], + "page_idx": 11 + } +] \ No newline at end of file diff --git a/parse/train/SJlhPMWAW/SJlhPMWAW_middle.json b/parse/train/SJlhPMWAW/SJlhPMWAW_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..3d8e389943a3f33051dc13ed5b42571bb0cc8e34 --- /dev/null +++ b/parse/train/SJlhPMWAW/SJlhPMWAW_middle.json @@ -0,0 +1,34936 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 78, + 503, + 116 + ], + "lines": [ + { + "bbox": [ + 106, + 79, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 505, + 96 + ], + "score": 1.0, + "content": "GRAPHVAE: TOWARDS GENERATION OF SMALL", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 98, + 458, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 98, + 458, + 118 + ], + "score": 1.0, + "content": "GRAPHS USING VARIATIONAL AUTOENCODERS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 136, + 244, + 157 + ], + "lines": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "spans": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "spans": [ + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 278, + 186, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 277, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 277, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 142, + 212, + 468, + 300 + ], + "lines": [ + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "spans": [ + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "score": 1.0, + "content": "Deep learning on graphs has become a popular research topic with many applica-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 222, + 470, + 236 + ], + "spans": [ + { + "bbox": [ + 141, + 222, + 470, + 236 + ], + "score": 1.0, + "content": "tions. However, past work has concentrated on learning graph embedding tasks", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 234, + 469, + 247 + ], + "spans": [ + { + "bbox": [ + 141, + 234, + 469, + 247 + ], + "score": 1.0, + "content": "only, which is in contrast with advances in generative models for images and text.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 140, + 244, + 470, + 258 + ], + "spans": [ + { + "bbox": [ + 140, + 244, + 470, + 258 + ], + "score": 1.0, + "content": "Is it possible to transfer this progress to the domain of graphs? We propose to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 255, + 470, + 269 + ], + "spans": [ + { + "bbox": [ + 141, + 255, + 470, + 269 + ], + "score": 1.0, + "content": "sidestep hurdles associated with linearization of such discrete structures by having", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "score": 1.0, + "content": "a decoder output a probabilistic fully-connected graph of a predefined maximum", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 278, + 470, + 290 + ], + "spans": [ + { + "bbox": [ + 141, + 278, + 470, + 290 + ], + "score": 1.0, + "content": "size directly at once. Our method is formulated as a variational autoencoder. We", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 289, + 416, + 302 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 416, + 302 + ], + "score": 1.0, + "content": "evaluate on the challenging task of conditional molecule generation.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 108, + 322, + 206, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 321, + 208, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 208, + 338 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 347, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "score": 1.0, + "content": "Deep learning on graphs has very recently become a popular research topic, with useful applications", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "score": 1.0, + "content": "across fields such as chemistry (Gilmer et al., 2017), medicine (Ktena et al.), or computer vision", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "(Simonovsky & Komodakis, 2017). Past work has concentrated on learning graph embedding tasks", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "so far, i.e. encoding an input graph into a vector representation. This is in stark contrast with fast-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "paced advances in generative models for images and text, which have seen massive rise in quality", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "score": 1.0, + "content": "of generated samples. Hence, it is an intriguing question how one can transfer this progress to the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 413, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 506, + 425 + ], + "score": 1.0, + "content": "domain of graphs, i.e. their decoding from a vector representation. Moreover, the desire for such a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 425, + 409, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 409, + 437 + ], + "score": 1.0, + "content": "method has been mentioned in the past by Gomez-Bombarelli et al. (2016). ´", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 108, + 441, + 504, + 485 + ], + "lines": [ + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "score": 1.0, + "content": "However, learning to generate graphs is a difficult problem for methods based on gradient optimiza-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 452, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 505, + 464 + ], + "score": 1.0, + "content": "tion, as graphs are discrete structures. Incremental construction involves discrete decisions, which", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 463, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 476 + ], + "score": 1.0, + "content": "are not differentiable. Unlike sequence (text) generation, graphs can have arbitrary connectivity and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 474, + 440, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 440, + 487 + ], + "score": 1.0, + "content": "there is no clear best way how to linearize their construction in a sequence of steps.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 491, + 504, + 546 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 504 + ], + "score": 1.0, + "content": "In this work, we propose to sidestep these hurdles by having the decoder output a probabilistic", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 501, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 515 + ], + "score": 1.0, + "content": "fully-connected graph of a predefined maximum size directly at once. In a probabilistic graph,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 513, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 505, + 525 + ], + "score": 1.0, + "content": "the existence of nodes and edges, as well as their attributes, are modeled as independent random", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 522, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 506, + 538 + ], + "score": 1.0, + "content": "variables. The method is formulated in the framework of variational autoencoders (VAE) by Kingma", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 534, + 182, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 182, + 548 + ], + "score": 1.0, + "content": "& Welling (2013).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 551, + 505, + 607 + ], + "lines": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "score": 1.0, + "content": "We demonstrate our method, coined GraphVAE, in cheminformatics on the task of molecule gen-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "eration. 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While our method", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "is applicable for generating smaller graphs only and its performance leaves space for improvement,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 595, + 486, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 486, + 609 + ], + "score": 1.0, + "content": "we believe our work is an important initial step towards powerful and efficient graph decoders.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33 + }, + { + "type": "title", + "bbox": [ + 108, + 623, + 208, + 636 + ], + "lines": [ + { + "bbox": [ + 104, + 622, + 211, + 639 + ], + "spans": [ + { + "bbox": [ + 104, + 622, + 211, + 639 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 108, + 649, + 504, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "Graph Decoders. 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However, past work has concentrated on learning graph embedding tasks", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 234, + 469, + 247 + ], + "spans": [ + { + "bbox": [ + 141, + 234, + 469, + 247 + ], + "score": 1.0, + "content": "only, which is in contrast with advances in generative models for images and text.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 140, + 244, + 470, + 258 + ], + "spans": [ + { + "bbox": [ + 140, + 244, + 470, + 258 + ], + "score": 1.0, + "content": "Is it possible to transfer this progress to the domain of graphs? We propose to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 255, + 470, + 269 + ], + "spans": [ + { + "bbox": [ + 141, + 255, + 470, + 269 + ], + "score": 1.0, + "content": "sidestep hurdles associated with linearization of such discrete structures by having", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "score": 1.0, + "content": "a decoder output a probabilistic fully-connected graph of a predefined maximum", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 278, + 470, + 290 + ], + "spans": [ + { + "bbox": [ + 141, + 278, + 470, + 290 + ], + "score": 1.0, + "content": "size directly at once. Our method is formulated as a variational autoencoder. We", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 289, + 416, + 302 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 416, + 302 + ], + "score": 1.0, + "content": "evaluate on the challenging task of conditional molecule generation.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8.5, + "bbox_fs": [ + 140, + 212, + 470, + 302 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 322, + 206, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 321, + 208, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 208, + 338 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 347, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "score": 1.0, + "content": "Deep learning on graphs has very recently become a popular research topic, with useful applications", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "score": 1.0, + "content": "across fields such as chemistry (Gilmer et al., 2017), medicine (Ktena et al.), or computer vision", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "(Simonovsky & Komodakis, 2017). Past work has concentrated on learning graph embedding tasks", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "so far, i.e. encoding an input graph into a vector representation. This is in stark contrast with fast-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "paced advances in generative models for images and text, which have seen massive rise in quality", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "score": 1.0, + "content": "of generated samples. Hence, it is an intriguing question how one can transfer this progress to the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 413, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 506, + 425 + ], + "score": 1.0, + "content": "domain of graphs, i.e. their decoding from a vector representation. Moreover, the desire for such a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 425, + 409, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 409, + 437 + ], + "score": 1.0, + "content": "method has been mentioned in the past by Gomez-Bombarelli et al. (2016). ´", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 347, + 506, + 437 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 441, + 504, + 485 + ], + "lines": [ + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "score": 1.0, + "content": "However, learning to generate graphs is a difficult problem for methods based on gradient optimiza-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 452, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 505, + 464 + ], + "score": 1.0, + "content": "tion, as graphs are discrete structures. Incremental construction involves discrete decisions, which", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 463, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 476 + ], + "score": 1.0, + "content": "are not differentiable. Unlike sequence (text) generation, graphs can have arbitrary connectivity and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 474, + 440, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 440, + 487 + ], + "score": 1.0, + "content": "there is no clear best way how to linearize their construction in a sequence of steps.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 441, + 506, + 487 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 491, + 504, + 546 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 504 + ], + "score": 1.0, + "content": "In this work, we propose to sidestep these hurdles by having the decoder output a probabilistic", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 501, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 515 + ], + "score": 1.0, + "content": "fully-connected graph of a predefined maximum size directly at once. In a probabilistic graph,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 513, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 505, + 525 + ], + "score": 1.0, + "content": "the existence of nodes and edges, as well as their attributes, are modeled as independent random", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 522, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 506, + 538 + ], + "score": 1.0, + "content": "variables. The method is formulated in the framework of variational autoencoders (VAE) by Kingma", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 534, + 182, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 182, + 548 + ], + "score": 1.0, + "content": "& Welling (2013).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 489, + 506, + 548 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 551, + 505, + 607 + ], + "lines": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 564 + ], + "score": 1.0, + "content": "We demonstrate our method, coined GraphVAE, in cheminformatics on the task of molecule gen-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "eration. Molecular datasets are a challenging but convenient testbed for our generative model, as", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "score": 1.0, + "content": "they easily allow for both qualitative and quantitative tests of decoded samples. While our method", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "is applicable for generating smaller graphs only and its performance leaves space for improvement,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 595, + 486, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 486, + 609 + ], + "score": 1.0, + "content": "we believe our work is an important initial step towards powerful and efficient graph decoders.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 551, + 505, + 609 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 623, + 208, + 636 + ], + "lines": [ + { + "bbox": [ + 104, + 622, + 211, + 639 + ], + "spans": [ + { + "bbox": [ + 104, + 622, + 211, + 639 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 108, + 649, + 504, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "Graph Decoders. 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Reconstruction ability of", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 316, + 446, + 331 + ], + "spans": [ + { + "bbox": [ + 104, + 317, + 402, + 331 + ], + "score": 1.0, + "content": "the autoencoder is facilitated by approximate graph matching for aligning", + "type": "text" + }, + { + "bbox": [ + 403, + 318, + 412, + 328 + ], + "score": 0.79, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 317, + 433, + 331 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 433, + 316, + 442, + 328 + ], + "score": 0.86, + "content": "\\widetilde { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 317, + 446, + 331 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 108, + 350, + 504, + 384 + ], + "lines": [], + "index": 11, + "bbox_fs": [ + 105, + 350, + 505, + 386 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 108, + 389, + 504, + 422 + ], + "lines": [ + { + "bbox": [ + 105, + 388, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 402 + ], + "score": 1.0, + "content": "Related work pre-dating deep learning includes random graphs (Erdos & Renyi, 1960; Barab ´ asi & ´", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 399, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 414 + ], + "score": 1.0, + "content": "Albert, 1999), stochastic blockmodels (Snijders & Nowicki, 1997), or state transition matrix learning", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 411, + 202, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 202, + 425 + ], + "score": 1.0, + "content": "(Gong & Xiang, 2003).", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 388, + 505, + 425 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 435, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "Discrete Data Decoders. Text is the most common discrete representation. Generative models", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "there are usually trained by teacher forcing (Williams & Zipser, 1989), which avoids the need to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 457, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 505, + 470 + ], + "score": 1.0, + "content": "backpropagate through output discretization by feeding the ground truth instead of the past sample", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 467, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 104, + 467, + 505, + 482 + ], + "score": 1.0, + "content": "at each step. Recently, efforts have been made to overcome this problem. Notably, computing", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 478, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 104, + 478, + 505, + 492 + ], + "score": 1.0, + "content": "a differentiable approximation using Gumbel distribution (Kusner & Hernandez-Lobato, 2016) or ´", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 490, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 502 + ], + "score": 1.0, + "content": "bypassing the problem by learning a stochastic policy in reinforcement learning (Yu et al., 2017).", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 500, + 507, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 507, + 514 + ], + "score": 1.0, + "content": "Our work also circumvents the non-differentiability problem, namely by formulating the loss on a", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 512, + 186, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 186, + 525 + ], + "score": 1.0, + "content": "probabilistic graph.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5, + "bbox_fs": [ + 104, + 434, + 507, + 525 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 536, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 549 + ], + "score": 1.0, + "content": "Molecule Decoders. Generative models may become promising for de novo design of molecules", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 547, + 504, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 504, + 559 + ], + "score": 1.0, + "content": "fulfilling certain criteria by being able to search for them over a continuous embedding space (Olive-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 557, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 505, + 570 + ], + "score": 1.0, + "content": "crona et al., 2017). With that in mind, we propose a conditional version of our model. While", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 568, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 582 + ], + "score": 1.0, + "content": "molecules have an intuitive representation as graphs, the field has had to resort to textual repre-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 579, + 506, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 593 + ], + "score": 1.0, + "content": "sentations with fixed syntax, e.g. so-called SMILES strings, to exploit recent progress made in text", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "generation with RNNs (Olivecrona et al., 2017; Segler et al., 2017; Gomez-Bombarelli et al., 2016). ´", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 602, + 504, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 602, + 504, + 613 + ], + "score": 1.0, + "content": "As their syntax is brittle, many invalid strings tend to be generated, which has been recently ad-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 611, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 506, + 627 + ], + "score": 1.0, + "content": "dressed by Kusner et al. (2017) by incorporating grammar rules into decoding. While encouraging,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 623, + 461, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 461, + 636 + ], + "score": 1.0, + "content": "their approach does not guarantee semantic (chemical) validity, similarly as our method.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 535, + 506, + 636 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 651, + 172, + 664 + ], + "lines": [ + { + "bbox": [ + 104, + 649, + 174, + 667 + ], + "spans": [ + { + "bbox": [ + 104, + 649, + 174, + 667 + ], + "score": 1.0, + "content": "3 METHOD", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 107, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 107, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "We approach the task of graph generation by devising a neural network able to translate vectors in", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "a continuous code space to graphs. Our main idea is to output a probabilistic fully-connected graph", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "and use a standard graph matching algorithm to align it to the ground truth. The proposed method", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "is formulated in the framework of variational autoencoders (VAE) by Kingma & Welling (2013),", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "although other forms of regularized autoencoders would be equally suitable (Makhzani et al., 2015;", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 677, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "Li et al., 2015a). We briefly recapitulate VAE below and continue with introducing our novel graph", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 312, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 312, + 106 + ], + "score": 1.0, + "content": "decoder together with an appropriate loss function.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "title", + "bbox": [ + 108, + 118, + 259, + 130 + ], + "lines": [ + { + "bbox": [ + 106, + 118, + 261, + 130 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 261, + 130 + ], + "score": 1.0, + "content": "3.1 VARIATIONAL AUTOENCODER", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 138, + 505, + 228 + ], + "lines": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 123, + 151 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 139, + 186, + 151 + ], + "score": 0.92, + "content": "G = ( A , E , F )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 139, + 376, + 151 + ], + "score": 1.0, + "content": "be a graph specified with its adjacency matrix", + "type": "text" + }, + { + "bbox": [ + 377, + 140, + 385, + 149 + ], + "score": 0.71, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 139, + 474, + 151 + ], + "score": 1.0, + "content": ", edge attribute tensor", + "type": "text" + }, + { + "bbox": [ + 475, + 140, + 484, + 149 + ], + "score": 0.8, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 139, + 505, + 151 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 149, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 195, + 163 + ], + "score": 1.0, + "content": "node attribute matrix", + "type": "text" + }, + { + "bbox": [ + 196, + 150, + 205, + 160 + ], + "score": 0.82, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 149, + 506, + 163 + ], + "score": 1.0, + "content": ". We wish to learn an encoder and a decoder to map between the space", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 161, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 147, + 173 + ], + "score": 1.0, + "content": "of graphs", + "type": "text" + }, + { + "bbox": [ + 147, + 162, + 157, + 171 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 161, + 291, + 173 + ], + "score": 1.0, + "content": "and their continuous embedding", + "type": "text" + }, + { + "bbox": [ + 291, + 161, + 323, + 172 + ], + "score": 0.9, + "content": "\\mathbf { z } \\in \\mathbb { R } ^ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 161, + 505, + 173 + ], + "score": 1.0, + "content": ", see Figure 1. 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The dimensionality of", + "type": "text" + }, + { + "bbox": [ + 455, + 288, + 462, + 296 + ], + "score": 0.65, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 286, + 504, + 298 + ], + "score": 1.0, + "content": "is usually", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "score": 1.0, + "content": "fairly small so that the autoencoder is encouraged to learn a high-level compression of the input", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "instead of learning to simply copy any given input. While the regularization is independent on the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 319, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 505, + 331 + ], + "score": 1.0, + "content": "input space, the reconstruction loss must be specifically designed for each input modality. In the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 329, + 474, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 474, + 343 + ], + "score": 1.0, + "content": "following, we introduce our graph decoder together with an appropriate reconstruction loss.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 108, + 354, + 276, + 366 + ], + "lines": [ + { + "bbox": [ + 105, + 354, + 278, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 278, + 367 + ], + "score": 1.0, + "content": "3.2 PROBABILISTIC GRAPH DECODER", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 374, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 106, + 375, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 388 + ], + "score": 1.0, + "content": "Graphs are discrete objects, ultimately. While this does not pose a challenge for encoding, demon-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "score": 1.0, + "content": "strated by the recent developments in graph convolution networks (Gilmer et al., 2017), graph gen-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "score": 1.0, + "content": "eration has been an open problem so far. In a related task of text sequence generation, the currently", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 407, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 422 + ], + "score": 1.0, + "content": "dominant approach is character-wise or word-wise prediction (Bowman et al., 2016). However,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "graphs can have arbitrary connectivity and there is no clear way how to linearize their construc-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "score": 1.0, + "content": "tion in a sequence of steps1. On the other hand, iterative construction of discrete structures during", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "score": 1.0, + "content": "training without step-wise supervision involves discrete decisions, which are not differentiable and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 452, + 283, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 283, + 465 + ], + "score": 1.0, + "content": "therefore problematic for back-propagation.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 469, + 505, + 526 + ], + "lines": [ + { + "bbox": [ + 106, + 469, + 504, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 469, + 504, + 480 + ], + "score": 1.0, + "content": "Fortunately, the task can become much simpler if we restrict the domain to the set of all graphs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 480, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 164, + 492 + ], + "score": 1.0, + "content": "on maximum", + "type": "text" + }, + { + "bbox": [ + 164, + 480, + 172, + 490 + ], + "score": 0.75, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 480, + 231, + 492 + ], + "score": 1.0, + "content": "nodes, where", + "type": "text" + }, + { + "bbox": [ + 231, + 480, + 239, + 490 + ], + "score": 0.78, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 480, + 505, + 492 + ], + "score": 1.0, + "content": "is fairly small (in practice up to the order of tens). Under this", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 490, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 504 + ], + "score": 1.0, + "content": "assumption, handling dense graph representations is still computationally tractable. We propose to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 501, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 359, + 518 + ], + "score": 1.0, + "content": "make the decoder output a probabilistic fully-connected graph", + "type": "text" + }, + { + "bbox": [ + 360, + 501, + 422, + 516 + ], + "score": 0.94, + "content": "\\widetilde { G } = ( \\widetilde { A } , \\widetilde { E } , \\widetilde { F } )", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 502, + 437, + 518 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 437, + 504, + 444, + 514 + ], + "score": 0.78, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 502, + 506, + 518 + ], + "score": 1.0, + "content": "nodes at once.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 514, + 343, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 343, + 528 + ], + "score": 1.0, + "content": "This effectively sidesteps both problems mentioned above.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "In probabilistic graphs, the existence of nodes and edges is modeled as Bernoulli variables, whereas", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "score": 1.0, + "content": "node and edge attributes are multinomial variables. While not discussed in this work, continuous", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 554, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 566 + ], + "score": 1.0, + "content": "attributes could be easily modeled as Gaussian variables represented by their mean and variance.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 564, + 280, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 280, + 577 + ], + "score": 1.0, + "content": "We assume all variables to be independent.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 105, + 581, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 253, + 597 + ], + "score": 1.0, + "content": "Each tensor of the representation of", + "type": "text" + }, + { + "bbox": [ + 253, + 581, + 262, + 593 + ], + "score": 0.86, + "content": "\\widetilde { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 581, + 505, + 597 + ], + "score": 1.0, + "content": "has thus a probabilistic interpretation. Specifically, the pre-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 594, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 204, + 609 + ], + "score": 1.0, + "content": "dicted adjacency matrix", + "type": "text" + }, + { + "bbox": [ + 205, + 594, + 261, + 608 + ], + "score": 0.94, + "content": "\\widetilde { A } \\in [ 0 , 1 ] ^ { k \\times k }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 594, + 393, + 609 + ], + "score": 1.0, + "content": "contains both node probabilities", + "type": "text" + }, + { + "bbox": [ + 393, + 594, + 413, + 609 + ], + "score": 0.93, + "content": "\\widetilde { A } _ { a , a }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 594, + 506, + 609 + ], + "score": 1.0, + "content": "and edge probabilities", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 606, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 126, + 622 + ], + "score": 0.92, + "content": "\\widetilde { A } _ { a , b }", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 606, + 166, + 624 + ], + "score": 1.0, + "content": "for nodes", + "type": "text" + }, + { + "bbox": [ + 167, + 609, + 190, + 622 + ], + "score": 0.91, + "content": "a \\neq b", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 606, + 295, + 624 + ], + "score": 1.0, + "content": ". The edge attribute tensor", + "type": "text" + }, + { + "bbox": [ + 296, + 608, + 353, + 620 + ], + "score": 0.95, + "content": "\\widetilde { E } \\in \\mathbb { R } ^ { k \\times k \\times d _ { e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 606, + 506, + 624 + ], + "score": 1.0, + "content": "indicates class probabilities for edges", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 620, + 469, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 620, + 266, + 637 + ], + "score": 1.0, + "content": "and, similarly, the node attribute matrix", + "type": "text" + }, + { + "bbox": [ + 266, + 621, + 314, + 633 + ], + "score": 0.92, + "content": "\\widetilde { F } \\in \\mathbb { R } ^ { k \\times d _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 620, + 469, + 637 + ], + "score": 1.0, + "content": "contains class probabilities for nodes.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 107, + 640, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "The decoder itself is deterministic. Its architecture is a simple multi-layer perceptron (MLP) with", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 651, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 416, + 665 + ], + "score": 1.0, + "content": "three outputs in its last layer. 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At test time, we are often interested", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 234, + 691 + ], + "score": 1.0, + "content": "in a (discrete) point estimate of", + "type": "text" + }, + { + "bbox": [ + 234, + 678, + 242, + 689 + ], + "score": 0.87, + "content": "\\widetilde { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 678, + 505, + 691 + ], + "score": 1.0, + "content": ", which can be obtained by taking edge- and node-wise argmax in", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 690, + 420, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 127, + 703 + ], + "score": 0.92, + "content": "\\widetilde { A } , \\widetilde { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 690, + 148, + 704 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 149, + 690, + 157, + 702 + ], + "score": 0.86, + "content": "\\widetilde { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 690, + 384, + 704 + ], + "score": 1.0, + "content": ". Note that this can result in a discrete graph on less than", + "type": "text" + }, + { + "bbox": [ + 384, + 692, + 391, + 702 + ], + "score": 0.82, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 690, + 420, + 704 + ], + "score": 1.0, + "content": "nodes.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 711, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 709, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 118, + 709, + 505, + 724 + ], + "score": 1.0, + "content": "1While algorithms for canonical graph orderings are available (McKay & Piperno, 2014), Vinyals et al.", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 421, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 421, + 733 + ], + "score": 1.0, + "content": "(2015) empirically found out that the linearization order matters when learning on sets.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 309, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 309, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "Li et al., 2015a). We briefly recapitulate VAE below and continue with introducing our novel graph", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 312, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 312, + 106 + ], + "score": 1.0, + "content": "decoder together with an appropriate loss function.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 505, + 106 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 118, + 259, + 130 + ], + "lines": [ + { + "bbox": [ + 106, + 118, + 261, + 130 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 261, + 130 + ], + "score": 1.0, + "content": "3.1 VARIATIONAL AUTOENCODER", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 138, + 505, + 228 + ], + "lines": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 123, + 151 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 139, + 186, + 151 + ], + "score": 0.92, + "content": "G = ( A , E , F )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 139, + 376, + 151 + ], + "score": 1.0, + "content": "be a graph specified with its adjacency matrix", + "type": "text" + }, + { + "bbox": [ + 377, + 140, + 385, + 149 + ], + "score": 0.71, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 139, + 474, + 151 + ], + "score": 1.0, + "content": ", edge attribute tensor", + "type": "text" + }, + { + "bbox": [ + 475, + 140, + 484, + 149 + ], + "score": 0.8, + "content": "E", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 139, + 505, + 151 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 149, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 195, + 163 + ], + "score": 1.0, + "content": "node attribute matrix", + "type": "text" + }, + { + "bbox": [ + 196, + 150, + 205, + 160 + ], + "score": 0.82, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 149, + 506, + 163 + ], + "score": 1.0, + "content": ". We wish to learn an encoder and a decoder to map between the space", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 161, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 147, + 173 + ], + "score": 1.0, + "content": "of graphs", + "type": "text" + }, + { + "bbox": [ + 147, + 162, + 157, + 171 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 161, + 291, + 173 + ], + "score": 1.0, + "content": "and their continuous embedding", + "type": "text" + }, + { + "bbox": [ + 291, + 161, + 323, + 172 + ], + "score": 0.9, + "content": "\\mathbf { z } \\in \\mathbb { R } ^ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 161, + 505, + 173 + ], + "score": 1.0, + "content": ", see Figure 1. In the probabilistic setting of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 171, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 336, + 184 + ], + "score": 1.0, + "content": "a VAE, the encoder is defined by a variational posterior", + "type": "text" + }, + { + "bbox": [ + 336, + 172, + 371, + 184 + ], + "score": 0.93, + "content": "q _ { \\phi } ( \\mathbf { z } | G )", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 171, + 505, + 184 + ], + "score": 1.0, + "content": "and the decoder by a generative", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 182, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 154, + 195 + ], + "score": 1.0, + "content": "distribution", + "type": "text" + }, + { + "bbox": [ + 154, + 182, + 188, + 195 + ], + "score": 0.93, + "content": "p _ { \\boldsymbol { \\theta } } ( G | \\mathbf { z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 182, + 218, + 195 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 218, + 183, + 226, + 194 + ], + "score": 0.86, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 182, + 242, + 195 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 243, + 183, + 249, + 192 + ], + "score": 0.83, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 182, + 505, + 195 + ], + "score": 1.0, + "content": "are learned parameters. Furthermore, there is a prior distribution", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 107, + 194, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 107, + 194, + 126, + 205 + ], + "score": 0.91, + "content": "p ( \\mathbf { z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 194, + 505, + 207 + ], + "score": 1.0, + "content": "imposed on the latent code representation as a regularization; we use a simplistic isotropic", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 204, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 169, + 218 + ], + "score": 1.0, + "content": "Gaussian prior", + "type": "text" + }, + { + "bbox": [ + 170, + 204, + 236, + 216 + ], + "score": 0.92, + "content": "p ( \\mathbf { z } ) = N ( 0 , I )", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 204, + 506, + 218 + ], + "score": 1.0, + "content": ". The whole model is trained by minimizing the upper bound on", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 215, + 366, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 201, + 229 + ], + "score": 1.0, + "content": "negative log-likelihood", + "type": "text" + }, + { + "bbox": [ + 201, + 216, + 251, + 228 + ], + "score": 0.91, + "content": "- \\log p _ { \\theta } ( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 215, + 366, + 229 + ], + "score": 1.0, + "content": "(Kingma & Welling, 2013):", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5, + "bbox_fs": [ + 105, + 139, + 506, + 229 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 184, + 242, + 427, + 257 + ], + "lines": [ + { + "bbox": [ + 184, + 242, + 427, + 257 + ], + "spans": [ + { + "bbox": [ + 184, + 242, + 427, + 257 + ], + "score": 0.88, + "content": "\\mathcal { L } ( \\phi , \\theta ; G ) = \\mathbb { E } _ { q _ { \\phi } ( \\mathbf { z } | G ) } [ - \\log p _ { \\theta } ( G | \\mathbf { z } ) ] + \\mathrm { K L } [ q _ { \\phi } ( \\mathbf { z } | G ) | | p ( \\mathbf { z } ) ]", + "type": "interline_equation", + "image_path": "dbfc6e86a8049448c804182169a12020fcf065d4c786eacbb40e935b670e65e8.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 184, + 242, + 427, + 257 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 263, + 505, + 342 + ], + "lines": [ + { + "bbox": [ + 106, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 177, + 277 + ], + "score": 1.0, + "content": "The first term of", + "type": "text" + }, + { + "bbox": [ + 177, + 265, + 185, + 274 + ], + "score": 0.81, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 263, + 505, + 277 + ], + "score": 1.0, + "content": ", the reconstruction loss, enforces high similarity of sampled generated graphs", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 275, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 184, + 288 + ], + "score": 1.0, + "content": "to the input graph", + "type": "text" + }, + { + "bbox": [ + 184, + 276, + 193, + 285 + ], + "score": 0.81, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 275, + 505, + 288 + ], + "score": 1.0, + "content": ". The second term, KL-divergence, regularizes the code space to allow for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 286, + 504, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 158, + 298 + ], + "score": 1.0, + "content": "sampling of", + "type": "text" + }, + { + "bbox": [ + 158, + 288, + 165, + 296 + ], + "score": 0.63, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 286, + 223, + 298 + ], + "score": 1.0, + "content": "directly from", + "type": "text" + }, + { + "bbox": [ + 223, + 286, + 243, + 298 + ], + "score": 0.92, + "content": "p ( \\mathbf { z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 286, + 299, + 298 + ], + "score": 1.0, + "content": "instead from", + "type": "text" + }, + { + "bbox": [ + 299, + 286, + 334, + 298 + ], + "score": 0.93, + "content": "q _ { \\phi } ( \\bar { \\bf z } | G )", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 286, + 455, + 298 + ], + "score": 1.0, + "content": "later. The dimensionality of", + "type": "text" + }, + { + "bbox": [ + 455, + 288, + 462, + 296 + ], + "score": 0.65, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 286, + 504, + 298 + ], + "score": 1.0, + "content": "is usually", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "score": 1.0, + "content": "fairly small so that the autoencoder is encouraged to learn a high-level compression of the input", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "instead of learning to simply copy any given input. While the regularization is independent on the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 319, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 505, + 331 + ], + "score": 1.0, + "content": "input space, the reconstruction loss must be specifically designed for each input modality. In the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 329, + 474, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 474, + 343 + ], + "score": 1.0, + "content": "following, we introduce our graph decoder together with an appropriate reconstruction loss.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 263, + 506, + 343 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 354, + 276, + 366 + ], + "lines": [ + { + "bbox": [ + 105, + 354, + 278, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 278, + 367 + ], + "score": 1.0, + "content": "3.2 PROBABILISTIC GRAPH DECODER", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 374, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 106, + 375, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 388 + ], + "score": 1.0, + "content": "Graphs are discrete objects, ultimately. While this does not pose a challenge for encoding, demon-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "score": 1.0, + "content": "strated by the recent developments in graph convolution networks (Gilmer et al., 2017), graph gen-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "score": 1.0, + "content": "eration has been an open problem so far. In a related task of text sequence generation, the currently", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 407, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 422 + ], + "score": 1.0, + "content": "dominant approach is character-wise or word-wise prediction (Bowman et al., 2016). However,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "graphs can have arbitrary connectivity and there is no clear way how to linearize their construc-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "score": 1.0, + "content": "tion in a sequence of steps1. On the other hand, iterative construction of discrete structures during", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 453 + ], + "score": 1.0, + "content": "training without step-wise supervision involves discrete decisions, which are not differentiable and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 452, + 283, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 283, + 465 + ], + "score": 1.0, + "content": "therefore problematic for back-propagation.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 375, + 505, + 465 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 469, + 505, + 526 + ], + "lines": [ + { + "bbox": [ + 106, + 469, + 504, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 469, + 504, + 480 + ], + "score": 1.0, + "content": "Fortunately, the task can become much simpler if we restrict the domain to the set of all graphs", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 480, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 164, + 492 + ], + "score": 1.0, + "content": "on maximum", + "type": "text" + }, + { + "bbox": [ + 164, + 480, + 172, + 490 + ], + "score": 0.75, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 480, + 231, + 492 + ], + "score": 1.0, + "content": "nodes, where", + "type": "text" + }, + { + "bbox": [ + 231, + 480, + 239, + 490 + ], + "score": 0.78, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 480, + 505, + 492 + ], + "score": 1.0, + "content": "is fairly small (in practice up to the order of tens). Under this", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 490, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 504 + ], + "score": 1.0, + "content": "assumption, handling dense graph representations is still computationally tractable. We propose to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 501, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 359, + 518 + ], + "score": 1.0, + "content": "make the decoder output a probabilistic fully-connected graph", + "type": "text" + }, + { + "bbox": [ + 360, + 501, + 422, + 516 + ], + "score": 0.94, + "content": "\\widetilde { G } = ( \\widetilde { A } , \\widetilde { E } , \\widetilde { F } )", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 502, + 437, + 518 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 437, + 504, + 444, + 514 + ], + "score": 0.78, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 502, + 506, + 518 + ], + "score": 1.0, + "content": "nodes at once.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 514, + 343, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 343, + 528 + ], + "score": 1.0, + "content": "This effectively sidesteps both problems mentioned above.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 469, + 506, + 528 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "In probabilistic graphs, the existence of nodes and edges is modeled as Bernoulli variables, whereas", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 555 + ], + "score": 1.0, + "content": "node and edge attributes are multinomial variables. While not discussed in this work, continuous", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 554, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 566 + ], + "score": 1.0, + "content": "attributes could be easily modeled as Gaussian variables represented by their mean and variance.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 564, + 280, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 280, + 577 + ], + "score": 1.0, + "content": "We assume all variables to be independent.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 531, + 506, + 577 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 635 + ], + "lines": [ + { + "bbox": [ + 105, + 581, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 253, + 597 + ], + "score": 1.0, + "content": "Each tensor of the representation of", + "type": "text" + }, + { + "bbox": [ + 253, + 581, + 262, + 593 + ], + "score": 0.86, + "content": "\\widetilde { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 581, + 505, + 597 + ], + "score": 1.0, + "content": "has thus a probabilistic interpretation. Specifically, the pre-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 594, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 204, + 609 + ], + "score": 1.0, + "content": "dicted adjacency matrix", + "type": "text" + }, + { + "bbox": [ + 205, + 594, + 261, + 608 + ], + "score": 0.94, + "content": "\\widetilde { A } \\in [ 0 , 1 ] ^ { k \\times k }", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 594, + 393, + 609 + ], + "score": 1.0, + "content": "contains both node probabilities", + "type": "text" + }, + { + "bbox": [ + 393, + 594, + 413, + 609 + ], + "score": 0.93, + "content": "\\widetilde { A } _ { a , a }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 594, + 506, + 609 + ], + "score": 1.0, + "content": "and edge probabilities", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 606, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 126, + 622 + ], + "score": 0.92, + "content": "\\widetilde { A } _ { a , b }", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 606, + 166, + 624 + ], + "score": 1.0, + "content": "for nodes", + "type": "text" + }, + { + "bbox": [ + 167, + 609, + 190, + 622 + ], + "score": 0.91, + "content": "a \\neq b", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 606, + 295, + 624 + ], + "score": 1.0, + "content": ". The edge attribute tensor", + "type": "text" + }, + { + "bbox": [ + 296, + 608, + 353, + 620 + ], + "score": 0.95, + "content": "\\widetilde { E } \\in \\mathbb { R } ^ { k \\times k \\times d _ { e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 606, + 506, + 624 + ], + "score": 1.0, + "content": "indicates class probabilities for edges", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 620, + 469, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 620, + 266, + 637 + ], + "score": 1.0, + "content": "and, similarly, the node attribute matrix", + "type": "text" + }, + { + "bbox": [ + 266, + 621, + 314, + 633 + ], + "score": 0.92, + "content": "\\widetilde { F } \\in \\mathbb { R } ^ { k \\times d _ { n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 620, + 469, + 637 + ], + "score": 1.0, + "content": "contains class probabilities for nodes.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5, + "bbox_fs": [ + 104, + 581, + 506, + 637 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 640, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "The decoder itself is deterministic. Its architecture is a simple multi-layer perceptron (MLP) with", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 651, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 416, + 665 + ], + "score": 1.0, + "content": "three outputs in its last layer. 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It can be used in batch mode if similarity tensors are zero-padded,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 420, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 121, + 116 + ], + "score": 1.0, + "content": "i.e.", + "type": "text" + }, + { + "bbox": [ + 121, + 104, + 201, + 117 + ], + "score": 0.93, + "content": "\\mathsf { \\bar { S } } ( ( i , j ) , ( a , b ) ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 104, + 217, + 116 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 217, + 105, + 268, + 116 + ], + "score": 0.92, + "content": "n < i , j \\le k", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 104, + 420, + 116 + ], + "score": 1.0, + "content": ", and the amount of iterations is fixed.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 220 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 360, + 134 + ], + "score": 1.0, + "content": "Max-pooling matching outputs continuous assignment matrix", + "type": "text" + }, + { + "bbox": [ + 360, + 122, + 374, + 132 + ], + "score": 0.87, + "content": "X ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 121, + 505, + 134 + ], + "score": 1.0, + "content": ". 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While this operation is non-differentiable, gradient can still flow to the decoder di-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "rectly through the loss function and training convergence proceeds without problems. 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As usual in VAE, we formulate en-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 340, + 325 + ], + "score": 1.0, + "content": "coder as probabilistic and enforce Gaussian distribution of", + "type": "text" + }, + { + "bbox": [ + 341, + 312, + 375, + 324 + ], + "score": 0.93, + "content": "q _ { \\phi } ( \\mathbf { z } | G )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "by having the last encoder layer", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 138, + 335 + ], + "score": 1.0, + "content": "outputs", + "type": "text" + }, + { + "bbox": [ + 138, + 323, + 149, + 332 + ], + "score": 0.77, + "content": "2 c", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 322, + 397, + 335 + ], + "score": 1.0, + "content": "features interpreted as mean and variance, allowing to sample", + "type": "text" + }, + { + "bbox": [ + 397, + 322, + 489, + 334 + ], + "score": 0.93, + "content": "\\mathbf { z } _ { l } \\sim N ( \\mu _ { l } ( G ) , \\sigma _ { l } ( G ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 322, + 505, + 335 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 334, + 401, + 346 + ], + "spans": [ + { + "bbox": [ + 107, + 334, + 147, + 345 + ], + "score": 0.91, + "content": "l \\in { 1 , . . , c }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 334, + 401, + 346 + ], + "score": 1.0, + "content": "using the re-parameterization trick (Kingma & Welling, 2013).", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 358, + 505, + 424 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "Disentangled Embedding. In practice, rather than random drawing of graphs, one often desires", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "more control over the properties of generated graphs. In such case, we follow Sohn et al. (2015) and", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 313, + 393 + ], + "score": 1.0, + "content": "condition both encoder and decoder on label vector", + "type": "text" + }, + { + "bbox": [ + 313, + 382, + 322, + 392 + ], + "score": 0.3, + "content": "\\mathbf { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 380, + 455, + 393 + ], + "score": 1.0, + "content": "associated with each input graph", + "type": "text" + }, + { + "bbox": [ + 455, + 381, + 464, + 390 + ], + "score": 0.8, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 380, + 505, + 393 + ], + "score": 1.0, + "content": ". 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If the size of latent space", + "type": "text" + }, + { + "bbox": [ + 446, + 405, + 452, + 412 + ], + "score": 0.72, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "is small, the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 337, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 337, + 425 + ], + "score": 1.0, + "content": "decoder is encouraged to exploit information in the label.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 438, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "Limitations. The proposed model is expected to be useful only for generating small graphs. This", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 401, + 462 + ], + "score": 1.0, + "content": "is due to growth of GPU memory requirements and number of parameters", + "type": "text" + }, + { + "bbox": [ + 402, + 449, + 434, + 461 + ], + "score": 0.9, + "content": "( O ( k ^ { \\bar { 2 } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "as well matching", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 459, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 154, + 473 + ], + "score": 1.0, + "content": "complexity", + "type": "text" + }, + { + "bbox": [ + 154, + 460, + 186, + 472 + ], + "score": 0.89, + "content": "( O ( k ^ { 4 } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 459, + 379, + 473 + ], + "score": 1.0, + "content": "with small decrease in quality for high values of", + "type": "text" + }, + { + "bbox": [ + 380, + 461, + 386, + 470 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 459, + 506, + 473 + ], + "score": 1.0, + "content": ". In Section 4 we demonstrate", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 171, + 484 + ], + "score": 1.0, + "content": "results for up to", + "type": "text" + }, + { + "bbox": [ + 171, + 472, + 201, + 482 + ], + "score": 0.88, + "content": "k = 3 8", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 470, + 505, + 484 + ], + "score": 1.0, + "content": ". Nevertheless, for many applications even generation of small graphs is still", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 482, + 156, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 156, + 494 + ], + "score": 1.0, + "content": "very useful.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29 + }, + { + "type": "title", + "bbox": [ + 108, + 511, + 193, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 509, + 195, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 195, + 526 + ], + "score": 1.0, + "content": "4 EVALUATION", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 108, + 537, + 504, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 550 + ], + "score": 1.0, + "content": "We demonstrate our method for the task of molecule generation by evaluating on two large public", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 548, + 296, + 560 + ], + "spans": [ + { + "bbox": [ + 107, + 548, + 296, + 560 + ], + "score": 1.0, + "content": "datasets of organic molecules, QM9 and ZINC.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5 + }, + { + "type": "title", + "bbox": [ + 108, + 574, + 289, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 290, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 290, + 587 + ], + "score": 1.0, + "content": "4.1 APPLICATION IN CHEMINFORMATICS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 595, + 504, + 650 + ], + "lines": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "Quantitative evaluation of generative models of images and texts has been troublesome (Theis et al.,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 605, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 506, + 619 + ], + "score": 1.0, + "content": "2015), as it very difficult to measure realness of generated samples in an automated and objective", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "way. Thus, researchers frequently resort there to qualitative evaluation and embedding plots. How-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "ever, qualitative evaluation of graphs can be very unintuitive for humans to judge unless the graphs", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 639, + 221, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 221, + 653 + ], + "score": 1.0, + "content": "are planar and fairly simple.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 656, + 504, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "Fortunately, we found graph representation of molecules, as undirected graphs with atoms as nodes", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "and bonds as edges, to be a convenient testbed for generative models. 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While this operation is non-differentiable, gradient can still flow to the decoder di-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "rectly through the loss function and training convergence proceeds without problems. 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As usual in VAE, we formulate en-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 340, + 325 + ], + "score": 1.0, + "content": "coder as probabilistic and enforce Gaussian distribution of", + "type": "text" + }, + { + "bbox": [ + 341, + 312, + 375, + 324 + ], + "score": 0.93, + "content": "q _ { \\phi } ( \\mathbf { z } | G )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "by having the last encoder layer", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 138, + 335 + ], + "score": 1.0, + "content": "outputs", + "type": "text" + }, + { + "bbox": [ + 138, + 323, + 149, + 332 + ], + "score": 0.77, + "content": "2 c", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 322, + 397, + 335 + ], + "score": 1.0, + "content": "features interpreted as mean and variance, allowing to sample", + "type": "text" + }, + { + "bbox": [ + 397, + 322, + 489, + 334 + ], + "score": 0.93, + "content": "\\mathbf { z } _ { l } \\sim N ( \\mu _ { l } ( G ) , \\sigma _ { l } ( G ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 322, + 505, + 335 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 334, + 401, + 346 + ], + "spans": [ + { + "bbox": [ + 107, + 334, + 147, + 345 + ], + "score": 0.91, + "content": "l \\in { 1 , . . , c }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 334, + 401, + 346 + ], + "score": 1.0, + "content": "using the re-parameterization trick (Kingma & Welling, 2013).", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 255, + 505, + 346 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 358, + 505, + 424 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "Disentangled Embedding. In practice, rather than random drawing of graphs, one often desires", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "more control over the properties of generated graphs. In such case, we follow Sohn et al. (2015) and", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 313, + 393 + ], + "score": 1.0, + "content": "condition both encoder and decoder on label vector", + "type": "text" + }, + { + "bbox": [ + 313, + 382, + 322, + 392 + ], + "score": 0.3, + "content": "\\mathbf { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 380, + 455, + 393 + ], + "score": 1.0, + "content": "associated with each input graph", + "type": "text" + }, + { + "bbox": [ + 455, + 381, + 464, + 390 + ], + "score": 0.8, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 380, + 505, + 393 + ], + "score": 1.0, + "content": ". Decoder", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 107, + 391, + 506, + 404 + ], + "spans": [ + { + "bbox": [ + 107, + 391, + 151, + 403 + ], + "score": 0.92, + "content": "p _ { \\theta } ( G | \\mathbf { z } , \\mathbf { y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 391, + 258, + 404 + ], + "score": 1.0, + "content": "is fed a concatenation of", + "type": "text" + }, + { + "bbox": [ + 258, + 393, + 265, + 401 + ], + "score": 0.46, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 391, + 284, + 404 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 285, + 393, + 293, + 403 + ], + "score": 0.38, + "content": "\\mathbf { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 391, + 369, + 404 + ], + "score": 1.0, + "content": ", while in encoder", + "type": "text" + }, + { + "bbox": [ + 370, + 391, + 414, + 403 + ], + "score": 0.92, + "content": "q _ { \\phi } ( \\mathbf { z } | G , \\mathbf { y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 391, + 506, + 404 + ], + "score": 1.0, + "content": ", y is concatenated to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 446, + 415 + ], + "score": 1.0, + "content": "every node’s features just before the graph pooling layer. If the size of latent space", + "type": "text" + }, + { + "bbox": [ + 446, + 405, + 452, + 412 + ], + "score": 0.72, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "is small, the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 337, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 337, + 425 + ], + "score": 1.0, + "content": "decoder is encouraged to exploit information in the label.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 358, + 506, + 425 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 438, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "Limitations. The proposed model is expected to be useful only for generating small graphs. This", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 449, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 401, + 462 + ], + "score": 1.0, + "content": "is due to growth of GPU memory requirements and number of parameters", + "type": "text" + }, + { + "bbox": [ + 402, + 449, + 434, + 461 + ], + "score": 0.9, + "content": "( O ( k ^ { \\bar { 2 } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 449, + 505, + 462 + ], + "score": 1.0, + "content": "as well matching", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 459, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 154, + 473 + ], + "score": 1.0, + "content": "complexity", + "type": "text" + }, + { + "bbox": [ + 154, + 460, + 186, + 472 + ], + "score": 0.89, + "content": "( O ( k ^ { 4 } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 459, + 379, + 473 + ], + "score": 1.0, + "content": "with small decrease in quality for high values of", + "type": "text" + }, + { + "bbox": [ + 380, + 461, + 386, + 470 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 459, + 506, + 473 + ], + "score": 1.0, + "content": ". In Section 4 we demonstrate", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 171, + 484 + ], + "score": 1.0, + "content": "results for up to", + "type": "text" + }, + { + "bbox": [ + 171, + 472, + 201, + 482 + ], + "score": 0.88, + "content": "k = 3 8", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 470, + 505, + 484 + ], + "score": 1.0, + "content": ". Nevertheless, for many applications even generation of small graphs is still", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 482, + 156, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 156, + 494 + ], + "score": 1.0, + "content": "very useful.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 437, + 506, + 494 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 511, + 193, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 509, + 195, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 195, + 526 + ], + "score": 1.0, + "content": "4 EVALUATION", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 108, + 537, + 504, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 550 + ], + "score": 1.0, + "content": "We demonstrate our method for the task of molecule generation by evaluating on two large public", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 548, + 296, + 560 + ], + "spans": [ + { + "bbox": [ + 107, + 548, + 296, + 560 + ], + "score": 1.0, + "content": "datasets of organic molecules, QM9 and ZINC.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 535, + 505, + 560 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 574, + 289, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 290, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 290, + 587 + ], + "score": 1.0, + "content": "4.1 APPLICATION IN CHEMINFORMATICS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 595, + 504, + 650 + ], + "lines": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "Quantitative evaluation of generative models of images and texts has been troublesome (Theis et al.,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 605, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 506, + 619 + ], + "score": 1.0, + "content": "2015), as it very difficult to measure realness of generated samples in an automated and objective", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "way. Thus, researchers frequently resort there to qualitative evaluation and embedding plots. How-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "ever, qualitative evaluation of graphs can be very unintuitive for humans to judge unless the graphs", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 639, + 221, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 221, + 653 + ], + "score": 1.0, + "content": "are planar and fairly simple.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 595, + 506, + 653 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 656, + 504, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "Fortunately, we found graph representation of molecules, as undirected graphs with atoms as nodes", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "and bonds as edges, to be a convenient testbed for generative models. On one hand, generated graphs", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "can be easily visualized in standardized structural diagrams. On the other hand, chemical validity", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 690, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 690, + 505, + 701 + ], + "score": 1.0, + "content": "of graphs, as well as many further properties a molecule can fulfill, can be checked using software", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 81, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 95 + ], + "score": 1.0, + "content": "packages (SanitizeMol in RDKit) or simulations. This makes both qualitative and quantitative", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 164, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 164, + 105 + ], + "score": 1.0, + "content": "tests possible.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 657, + 506, + 701 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 95 + ], + "score": 1.0, + "content": "packages (SanitizeMol in RDKit) or simulations. This makes both qualitative and quantitative", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 164, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 164, + 105 + ], + "score": 1.0, + "content": "tests possible.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 110, + 505, + 154 + ], + "lines": [ + { + "bbox": [ + 106, + 111, + 505, + 122 + ], + "spans": [ + { + "bbox": [ + 106, + 111, + 505, + 122 + ], + "score": 1.0, + "content": "Chemical constraints on compatible types of bonds and atom valences make the space of valid", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 122, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 506, + 133 + ], + "score": 1.0, + "content": "graphs complicated and molecule generation challenging. In fact, a single addition or removal of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 505, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 146 + ], + "score": 1.0, + "content": "edge or change in atom or bond type can make a molecule chemically invalid. Comparably, flipping", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 393, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 393, + 155 + ], + "score": 1.0, + "content": "a single pixel in MNIST-like number generation problem is of no issue.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 244 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 506, + 173 + ], + "score": 1.0, + "content": "To help the network in this application, we introduce three remedies. First, we make the decoder", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 171, + 504, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 180, + 185 + ], + "score": 1.0, + "content": "output symmetric", + "type": "text" + }, + { + "bbox": [ + 181, + 171, + 190, + 183 + ], + "score": 0.85, + "content": "\\widetilde { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 172, + 209, + 185 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 209, + 171, + 218, + 183 + ], + "score": 0.86, + "content": "\\widetilde { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 172, + 504, + 185 + ], + "score": 1.0, + "content": "by predicting their (upper) triangular parts only, as undirected graphs", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 185, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 505, + 196 + ], + "score": 1.0, + "content": "are sufficient representation for molecules. Second, we use prior knowledge that molecules are", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "score": 1.0, + "content": "connected and, at test time only, construct maximum spanning tree on the set of probable nodes", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 206, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 107, + 206, + 178, + 220 + ], + "score": 0.92, + "content": "\\{ a : \\widetilde { A } _ { a , a } \\geq 0 . 5 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 207, + 293, + 222 + ], + "score": 1.0, + "content": "in order to include its edges", + "type": "text" + }, + { + "bbox": [ + 294, + 208, + 316, + 220 + ], + "score": 0.91, + "content": "( a , b )", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 207, + 505, + 222 + ], + "score": 1.0, + "content": "in the discrete pointwise estimate of the graph", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 220, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 136, + 234 + ], + "score": 1.0, + "content": "even if", + "type": "text" + }, + { + "bbox": [ + 137, + 220, + 183, + 234 + ], + "score": 0.91, + "content": "\\widetilde { A } _ { a , b } < 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 221, + 505, + 234 + ], + "score": 1.0, + "content": "originally. Third, we do not generate Hydrogen explicitly and let it be added as", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 232, + 278, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 278, + 245 + ], + "score": 1.0, + "content": "”padding” during chemical validity check.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 107, + 256, + 196, + 268 + ], + "lines": [ + { + "bbox": [ + 105, + 255, + 198, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 198, + 270 + ], + "score": 1.0, + "content": "4.2 QM9 DATASET", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 277, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 105, + 276, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 338, + 290 + ], + "score": 1.0, + "content": "QM9 dataset (Ramakrishnan et al., 2014) contains about", + "type": "text" + }, + { + "bbox": [ + 338, + 277, + 359, + 288 + ], + "score": 0.3, + "content": "1 3 4 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 276, + 505, + 290 + ], + "score": 1.0, + "content": "organic molecules of up to 9 heavy", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 427, + 300 + ], + "score": 1.0, + "content": "(non Hydrogen) atoms with 4 distinct atomic numbers and 4 bond types, we set", + "type": "text" + }, + { + "bbox": [ + 428, + 288, + 453, + 298 + ], + "score": 0.87, + "content": "k = 9", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 288, + 457, + 300 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 457, + 288, + 487, + 299 + ], + "score": 0.89, + "content": "d _ { e } = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 107, + 299, + 453, + 311 + ], + "spans": [ + { + "bbox": [ + 107, + 299, + 137, + 310 + ], + "score": 0.91, + "content": "d _ { n } = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 299, + 193, + 311 + ], + "score": 1.0, + "content": ". We set aside", + "type": "text" + }, + { + "bbox": [ + 194, + 299, + 210, + 309 + ], + "score": 0.39, + "content": "1 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 299, + 305, + 311 + ], + "score": 1.0, + "content": "samples for testing and", + "type": "text" + }, + { + "bbox": [ + 306, + 299, + 322, + 309 + ], + "score": 0.48, + "content": "1 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 299, + 453, + 311 + ], + "score": 1.0, + "content": "for validation (model selection).", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 316, + 505, + 382 + ], + "lines": [ + { + "bbox": [ + 106, + 316, + 504, + 328 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 504, + 328 + ], + "score": 1.0, + "content": "We compare our unconditional model to the character-based generator of Gomez-Bombarelli et al. ´", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "(2016) (CVAE) and the grammar-based generator of Kusner et al. (2017) (GVAE). We used the code", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "and architecture in Kusner et al. (2017) for both baselines, adapting the maximum input length to the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "score": 1.0, + "content": "smallest possible. In addition, we demonstrate a conditional generative model for an artificial task", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "of generating molecules given a histogram of heavy atoms as 4-dimensional label y, the success of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 370, + 228, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 228, + 383 + ], + "score": 1.0, + "content": "which can be easily validated.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 393, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "Setup. The encoder has two graph convolutional layers (32 and 64 channels) with identity connec-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 404, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 404, + 504, + 417 + ], + "score": 1.0, + "content": "tion, batchnorm, and ReLU; followed by soft attention pooling (Li et al., 2015b) with 128 channels", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 289, + 428 + ], + "score": 1.0, + "content": "and a fully-connected layer (FCL) to output", + "type": "text" + }, + { + "bbox": [ + 289, + 416, + 314, + 428 + ], + "score": 0.92, + "content": "( \\mu , \\sigma )", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 415, + 505, + 428 + ], + "score": 1.0, + "content": ". The decoder has 3 FCLs (128, 256, and 512", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "channels) with batchnorm and ReLU; followed by parallel triplet of FCLs to output graph tensors.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 135, + 450 + ], + "score": 1.0, + "content": "We set", + "type": "text" + }, + { + "bbox": [ + 136, + 438, + 164, + 448 + ], + "score": 0.87, + "content": "c = 4 0", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 437, + 168, + 450 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 168, + 438, + 252, + 448 + ], + "score": 0.9, + "content": "\\lambda _ { A } = \\lambda _ { F } = \\lambda _ { E } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 437, + 505, + 450 + ], + "score": 1.0, + "content": ", batch size 32, 75 MPM iterations and train for 25 epochs with", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 448, + 277, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 243, + 461 + ], + "score": 1.0, + "content": "Adam with learning rate 1e-3 and", + "type": "text" + }, + { + "bbox": [ + 243, + 449, + 272, + 460 + ], + "score": 0.9, + "content": "\\beta _ { 1 } { = } 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 448, + 277, + 461 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 107, + 471, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "Embedding Visualization. To visually judge the quality and smoothness of the learned embed-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 127, + 495 + ], + "score": 1.0, + "content": "ding", + "type": "text" + }, + { + "bbox": [ + 128, + 484, + 135, + 493 + ], + "score": 0.4, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "of our model, we may traverse it in two ways: along a slice and along a line. For the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 494, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 494, + 244, + 506 + ], + "score": 1.0, + "content": "former, we randomly choose two", + "type": "text" + }, + { + "bbox": [ + 244, + 495, + 250, + 503 + ], + "score": 0.73, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 494, + 435, + 506 + ], + "score": 1.0, + "content": "-dimensional orthonormal vectors and sample", + "type": "text" + }, + { + "bbox": [ + 436, + 495, + 443, + 503 + ], + "score": 0.61, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 494, + 505, + 506 + ], + "score": 1.0, + "content": "in regular grid", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 504, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 450, + 517 + ], + "score": 1.0, + "content": "pattern over the induced 2D plane. For the latter, we randomly choose two molecules", + "type": "text" + }, + { + "bbox": [ + 450, + 504, + 492, + 517 + ], + "score": 0.92, + "content": "G ^ { ( 1 ) } , G ^ { ( 2 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 505, + 506, + 517 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 516, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 390, + 531 + ], + "score": 1.0, + "content": "the same label from test set and interpolate between their embeddings", + "type": "text" + }, + { + "bbox": [ + 390, + 516, + 460, + 529 + ], + "score": 0.92, + "content": "\\mu ( G ^ { ( 1 ) } ) , \\mu ( G ^ { ( 2 ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 516, + 506, + 531 + ], + "score": 1.0, + "content": ". This also", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 528, + 407, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 407, + 540 + ], + "score": 1.0, + "content": "evaluates the encoder, and therefore benefits from low reconstruction error.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 107, + 545, + 504, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "We plot two planes in Figure 2, for a frequent label (left) and a less frequent label in QM9 (right).", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "Both images show a varied and fairly smooth mix of molecules. The left image has many valid", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "score": 1.0, + "content": "samples broadly distributed across the plane, as presumably the autoencoder had to fit a large portion", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "of database into this space. The right exhibits stronger effect of regularization, as valid molecules", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 589, + 228, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 228, + 602 + ], + "score": 1.0, + "content": "tend to be only around center.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 108, + 605, + 504, + 639 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 619 + ], + "score": 1.0, + "content": "An example of several interpolations is shown in Figure 3. We can find both meaningful (1st,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "2nd and 4th row) and less meaningful transitions, though many samples on the lines do not form", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 107, + 628, + 226, + 640 + ], + "spans": [ + { + "bbox": [ + 107, + 628, + 226, + 640 + ], + "score": 1.0, + "content": "chemically valid compounds.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 664 + ], + "score": 1.0, + "content": "Decoder Quality Metrics. The quality of a conditional decoder can be evaluated by the validity", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 660, + 504, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 312, + 676 + ], + "score": 1.0, + "content": "and variety of generated graphs. For a given label", + "type": "text" + }, + { + "bbox": [ + 312, + 662, + 329, + 675 + ], + "score": 0.9, + "content": "\\mathbf { y } ^ { ( l ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 660, + 371, + 676 + ], + "score": 1.0, + "content": ", we draw", + "type": "text" + }, + { + "bbox": [ + 371, + 662, + 412, + 674 + ], + "score": 0.91, + "content": "n _ { s } = 1 0 ^ { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 660, + 449, + 676 + ], + "score": 1.0, + "content": "samples", + "type": "text" + }, + { + "bbox": [ + 449, + 662, + 504, + 675 + ], + "score": 0.91, + "content": "\\bar { \\mathbf { z } } ^ { ( l , s ) } \\sim p ( \\mathbf { z } )", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 673, + 488, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 341, + 690 + ], + "score": 1.0, + "content": "and compute the discrete point estimate of their decodings", + "type": "text" + }, + { + "bbox": [ + 342, + 674, + 483, + 688 + ], + "score": 0.83, + "content": "\\hat { G } ^ { ( l , s ) } = \\arg \\operatorname* { m a x } p _ { \\boldsymbol { \\theta } } \\big ( G | \\mathbf { z } ^ { ( l , s ) } , \\mathbf { y } ^ { ( l ) } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 673, + 488, + 690 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 693, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 691, + 505, + 707 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 122, + 707 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 122, + 693, + 140, + 705 + ], + "score": 0.9, + "content": "V ^ { ( l ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 691, + 325, + 707 + ], + "score": 1.0, + "content": "be the list of chemically valid molecules from", + "type": "text" + }, + { + "bbox": [ + 325, + 693, + 348, + 705 + ], + "score": 0.91, + "content": "\\hat { G } ^ { ( l , s ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 691, + 366, + 707 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 367, + 693, + 384, + 705 + ], + "score": 0.9, + "content": "C ^ { ( l ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 691, + 505, + 707 + ], + "score": 1.0, + "content": "be the list of chemically valid", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 704, + 505, + 720 + ], + "spans": [ + { + "bbox": [ + 105, + 704, + 273, + 720 + ], + "score": 1.0, + "content": "molecules with atom histograms equal to", + "type": "text" + }, + { + "bbox": [ + 273, + 706, + 289, + 719 + ], + "score": 0.9, + "content": "\\mathbf { y } ^ { ( l ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 704, + 402, + 720 + ], + "score": 1.0, + "content": ". We are interested in ratios", + "type": "text" + }, + { + "bbox": [ + 402, + 705, + 487, + 720 + ], + "score": 0.92, + "content": "\\mathrm { V a l i d } ^ { ( l ) } = | V ^ { ( l ) } | / n _ { s }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 704, + 505, + 720 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 716, + 506, + 735 + ], + "spans": [ + { + "bbox": [ + 105, + 716, + 146, + 735 + ], + "score": 1.0, + "content": "Accurate", + "type": "text" + }, + { + "bbox": [ + 146, + 718, + 207, + 732 + ], + "score": 0.91, + "content": "^ { ( l ) } = | C ^ { ( l ) } | / n _ { s }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 716, + 279, + 735 + ], + "score": 1.0, + "content": ". Furthermore, let", + "type": "text" + }, + { + "bbox": [ + 279, + 718, + 404, + 732 + ], + "score": 0.85, + "content": "\\mathrm { U n i q u e } ^ { ( l ) } = | \\mathrm { s e t } ( { \\cal C } ^ { ( l ) } ) | / | { \\cal C } ^ { ( l ) } |", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 716, + 506, + 735 + ], + "score": 1.0, + "content": "be the fraction of unique", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 309, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 309, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 506, + 105 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 110, + 505, + 154 + ], + "lines": [ + { + "bbox": [ + 106, + 111, + 505, + 122 + ], + "spans": [ + { + "bbox": [ + 106, + 111, + 505, + 122 + ], + "score": 1.0, + "content": "Chemical constraints on compatible types of bonds and atom valences make the space of valid", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 122, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 506, + 133 + ], + "score": 1.0, + "content": "graphs complicated and molecule generation challenging. In fact, a single addition or removal of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 505, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 146 + ], + "score": 1.0, + "content": "edge or change in atom or bond type can make a molecule chemically invalid. Comparably, flipping", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 144, + 393, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 393, + 155 + ], + "score": 1.0, + "content": "a single pixel in MNIST-like number generation problem is of no issue.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 111, + 506, + 155 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 244 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 506, + 173 + ], + "score": 1.0, + "content": "To help the network in this application, we introduce three remedies. First, we make the decoder", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 171, + 504, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 180, + 185 + ], + "score": 1.0, + "content": "output symmetric", + "type": "text" + }, + { + "bbox": [ + 181, + 171, + 190, + 183 + ], + "score": 0.85, + "content": "\\widetilde { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 172, + 209, + 185 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 209, + 171, + 218, + 183 + ], + "score": 0.86, + "content": "\\widetilde { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 172, + 504, + 185 + ], + "score": 1.0, + "content": "by predicting their (upper) triangular parts only, as undirected graphs", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 185, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 505, + 196 + ], + "score": 1.0, + "content": "are sufficient representation for molecules. Second, we use prior knowledge that molecules are", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "score": 1.0, + "content": "connected and, at test time only, construct maximum spanning tree on the set of probable nodes", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 206, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 107, + 206, + 178, + 220 + ], + "score": 0.92, + "content": "\\{ a : \\widetilde { A } _ { a , a } \\geq 0 . 5 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 207, + 293, + 222 + ], + "score": 1.0, + "content": "in order to include its edges", + "type": "text" + }, + { + "bbox": [ + 294, + 208, + 316, + 220 + ], + "score": 0.91, + "content": "( a , b )", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 207, + 505, + 222 + ], + "score": 1.0, + "content": "in the discrete pointwise estimate of the graph", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 220, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 136, + 234 + ], + "score": 1.0, + "content": "even if", + "type": "text" + }, + { + "bbox": [ + 137, + 220, + 183, + 234 + ], + "score": 0.91, + "content": "\\widetilde { A } _ { a , b } < 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 221, + 505, + 234 + ], + "score": 1.0, + "content": "originally. Third, we do not generate Hydrogen explicitly and let it be added as", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 232, + 278, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 278, + 245 + ], + "score": 1.0, + "content": "”padding” during chemical validity check.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9, + "bbox_fs": [ + 106, + 160, + 506, + 245 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 256, + 196, + 268 + ], + "lines": [ + { + "bbox": [ + 105, + 255, + 198, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 198, + 270 + ], + "score": 1.0, + "content": "4.2 QM9 DATASET", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 277, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 105, + 276, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 338, + 290 + ], + "score": 1.0, + "content": "QM9 dataset (Ramakrishnan et al., 2014) contains about", + "type": "text" + }, + { + "bbox": [ + 338, + 277, + 359, + 288 + ], + "score": 0.3, + "content": "1 3 4 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 276, + 505, + 290 + ], + "score": 1.0, + "content": "organic molecules of up to 9 heavy", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 427, + 300 + ], + "score": 1.0, + "content": "(non Hydrogen) atoms with 4 distinct atomic numbers and 4 bond types, we set", + "type": "text" + }, + { + "bbox": [ + 428, + 288, + 453, + 298 + ], + "score": 0.87, + "content": "k = 9", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 288, + 457, + 300 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 457, + 288, + 487, + 299 + ], + "score": 0.89, + "content": "d _ { e } = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 107, + 299, + 453, + 311 + ], + "spans": [ + { + "bbox": [ + 107, + 299, + 137, + 310 + ], + "score": 0.91, + "content": "d _ { n } = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 299, + 193, + 311 + ], + "score": 1.0, + "content": ". We set aside", + "type": "text" + }, + { + "bbox": [ + 194, + 299, + 210, + 309 + ], + "score": 0.39, + "content": "1 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 299, + 305, + 311 + ], + "score": 1.0, + "content": "samples for testing and", + "type": "text" + }, + { + "bbox": [ + 306, + 299, + 322, + 309 + ], + "score": 0.48, + "content": "1 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 299, + 453, + 311 + ], + "score": 1.0, + "content": "for validation (model selection).", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 276, + 505, + 311 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 316, + 505, + 382 + ], + "lines": [ + { + "bbox": [ + 106, + 316, + 504, + 328 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 504, + 328 + ], + "score": 1.0, + "content": "We compare our unconditional model to the character-based generator of Gomez-Bombarelli et al. ´", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "(2016) (CVAE) and the grammar-based generator of Kusner et al. (2017) (GVAE). We used the code", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "score": 1.0, + "content": "and architecture in Kusner et al. (2017) for both baselines, adapting the maximum input length to the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 361 + ], + "score": 1.0, + "content": "smallest possible. In addition, we demonstrate a conditional generative model for an artificial task", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "of generating molecules given a histogram of heavy atoms as 4-dimensional label y, the success of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 370, + 228, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 228, + 383 + ], + "score": 1.0, + "content": "which can be easily validated.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 316, + 506, + 383 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 393, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 407 + ], + "score": 1.0, + "content": "Setup. The encoder has two graph convolutional layers (32 and 64 channels) with identity connec-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 404, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 404, + 504, + 417 + ], + "score": 1.0, + "content": "tion, batchnorm, and ReLU; followed by soft attention pooling (Li et al., 2015b) with 128 channels", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 289, + 428 + ], + "score": 1.0, + "content": "and a fully-connected layer (FCL) to output", + "type": "text" + }, + { + "bbox": [ + 289, + 416, + 314, + 428 + ], + "score": 0.92, + "content": "( \\mu , \\sigma )", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 415, + 505, + 428 + ], + "score": 1.0, + "content": ". The decoder has 3 FCLs (128, 256, and 512", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "channels) with batchnorm and ReLU; followed by parallel triplet of FCLs to output graph tensors.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 135, + 450 + ], + "score": 1.0, + "content": "We set", + "type": "text" + }, + { + "bbox": [ + 136, + 438, + 164, + 448 + ], + "score": 0.87, + "content": "c = 4 0", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 437, + 168, + 450 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 168, + 438, + 252, + 448 + ], + "score": 0.9, + "content": "\\lambda _ { A } = \\lambda _ { F } = \\lambda _ { E } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 437, + 505, + 450 + ], + "score": 1.0, + "content": ", batch size 32, 75 MPM iterations and train for 25 epochs with", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 448, + 277, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 243, + 461 + ], + "score": 1.0, + "content": "Adam with learning rate 1e-3 and", + "type": "text" + }, + { + "bbox": [ + 243, + 449, + 272, + 460 + ], + "score": 0.9, + "content": "\\beta _ { 1 } { = } 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 448, + 277, + 461 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 394, + 505, + 461 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 471, + 505, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "Embedding Visualization. To visually judge the quality and smoothness of the learned embed-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 127, + 495 + ], + "score": 1.0, + "content": "ding", + "type": "text" + }, + { + "bbox": [ + 128, + 484, + 135, + 493 + ], + "score": 0.4, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "of our model, we may traverse it in two ways: along a slice and along a line. For the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 494, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 494, + 244, + 506 + ], + "score": 1.0, + "content": "former, we randomly choose two", + "type": "text" + }, + { + "bbox": [ + 244, + 495, + 250, + 503 + ], + "score": 0.73, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 494, + 435, + 506 + ], + "score": 1.0, + "content": "-dimensional orthonormal vectors and sample", + "type": "text" + }, + { + "bbox": [ + 436, + 495, + 443, + 503 + ], + "score": 0.61, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 494, + 505, + 506 + ], + "score": 1.0, + "content": "in regular grid", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 504, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 450, + 517 + ], + "score": 1.0, + "content": "pattern over the induced 2D plane. For the latter, we randomly choose two molecules", + "type": "text" + }, + { + "bbox": [ + 450, + 504, + 492, + 517 + ], + "score": 0.92, + "content": "G ^ { ( 1 ) } , G ^ { ( 2 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 505, + 506, + 517 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 516, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 390, + 531 + ], + "score": 1.0, + "content": "the same label from test set and interpolate between their embeddings", + "type": "text" + }, + { + "bbox": [ + 390, + 516, + 460, + 529 + ], + "score": 0.92, + "content": "\\mu ( G ^ { ( 1 ) } ) , \\mu ( G ^ { ( 2 ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 516, + 506, + 531 + ], + "score": 1.0, + "content": ". This also", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 528, + 407, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 407, + 540 + ], + "score": 1.0, + "content": "evaluates the encoder, and therefore benefits from low reconstruction error.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 471, + 506, + 540 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 545, + 504, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 545, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 505, + 558 + ], + "score": 1.0, + "content": "We plot two planes in Figure 2, for a frequent label (left) and a less frequent label in QM9 (right).", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "Both images show a varied and fairly smooth mix of molecules. The left image has many valid", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 506, + 580 + ], + "score": 1.0, + "content": "samples broadly distributed across the plane, as presumably the autoencoder had to fit a large portion", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "of database into this space. The right exhibits stronger effect of regularization, as valid molecules", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 589, + 228, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 228, + 602 + ], + "score": 1.0, + "content": "tend to be only around center.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 545, + 506, + 602 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 605, + 504, + 639 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 619 + ], + "score": 1.0, + "content": "An example of several interpolations is shown in Figure 3. We can find both meaningful (1st,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "2nd and 4th row) and less meaningful transitions, though many samples on the lines do not form", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 107, + 628, + 226, + 640 + ], + "spans": [ + { + "bbox": [ + 107, + 628, + 226, + 640 + ], + "score": 1.0, + "content": "chemically valid compounds.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 604, + 505, + 640 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 664 + ], + "score": 1.0, + "content": "Decoder Quality Metrics. The quality of a conditional decoder can be evaluated by the validity", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 660, + 504, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 312, + 676 + ], + "score": 1.0, + "content": "and variety of generated graphs. 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log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs c = 20-0.578-0.7220.5650.4670.3140.598
Ours c = 40-0.504-0.6170.5110.4160.4840.635
Ours c = 60-0.492-0.5850.5200.4060.5830.613
Ours c = 80-0.475-0.5570.4580.3530.6660.661
Ours c = 20-0.660-0.9160.4850.4850.4570.575
marrniruirrnOurs c = 40-0.537-0.7440.5420.5420.6180.617
Ours c = 60-0.4860.5170.5170.6950.570
Ours c = 80-0.482-0.656 -0.6280.5570.5570.7600.616
NoGM c = 80
CVAE c = 60-2.388-2.5530.810 0.1030.8100.2410.610
GVAE c = 2010.6020.1030.6750.900
110.6020.0930.809
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Besides the application-specific metric introduced above, we also report evidence", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 426, + 466 + ], + "score": 1.0, + "content": "lower bound (ELBO) commonly used in VAE literature, which corresponds to", + "type": "text" + }, + { + "bbox": [ + 426, + 454, + 477, + 466 + ], + "score": 0.93, + "content": "- { \\mathcal { L } } ( { \\bar { \\phi } } , \\theta ; G )", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "in our", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 424, + 478 + ], + "score": 1.0, + "content": "notation. 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However, there seems to be no strong correlation between ELBO and Valid, which makes", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 499, + 250, + 509 + ], + "spans": [ + { + "bbox": [ + 107, + 499, + 250, + 509 + ], + "score": 1.0, + "content": "model selection somewhat difficult.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 107, + 523, + 199, + 535 + ], + "lines": [ + { + "bbox": [ + 105, + 523, + 200, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 200, + 537 + ], + "score": 1.0, + "content": "4.3 ZINC DATASET", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 544, + 505, + 589 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 558 + ], + "score": 1.0, + "content": "ZINC dataset (Irwin et al., 2012) contains about 250k drug-like organic molecules of up to 38 heavy", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 359, + 569 + ], + "score": 1.0, + "content": "atoms with 9 distinct atomic numbers and 4 bond types, we set", + "type": "text" + }, + { + "bbox": [ + 360, + 556, + 390, + 567 + ], + "score": 0.86, + "content": "k = 3 8", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 556, + 393, + 569 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 393, + 556, + 423, + 567 + ], + "score": 0.89, + "content": "d _ { e } = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 556, + 441, + 569 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 441, + 556, + 471, + 567 + ], + "score": 0.92, + "content": "d _ { n } = 9", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 556, + 506, + 569 + ], + "score": 1.0, + "content": "and use", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "the same split strategy as with QM9. We investigate the degree of scalability of an unconditional", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 579, + 180, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 180, + 589 + ], + "score": 1.0, + "content": "generative model.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 105, + 602, + 484, + 614 + ], + "lines": [ + { + "bbox": [ + 105, + 601, + 486, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 486, + 616 + ], + "score": 1.0, + "content": "Setup. The setup is equivalent as for QM9 but with a wider encoder (64, 128, 256 channels).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 626, + 503, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 312, + 639 + ], + "score": 1.0, + "content": "Decoder Quality Metrics. Our best model with", + "type": "text" + }, + { + "bbox": [ + 313, + 627, + 345, + 637 + ], + "score": 0.89, + "content": "c = 4 0", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 627, + 400, + 639 + ], + "score": 1.0, + "content": "has archived", + "type": "text" + }, + { + "bbox": [ + 400, + 627, + 464, + 637 + ], + "score": 0.85, + "content": "\\mathrm { V a l i d } = 0 . 1 3 5", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 627, + 505, + 639 + ], + "score": 1.0, + "content": ", which is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "clearly worse than for QM9. For comparison, CVAE failed to generated any valid sample, while", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 648, + 439, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 173, + 661 + ], + "score": 1.0, + "content": "GVAE achieved", + "type": "text" + }, + { + "bbox": [ + 173, + 649, + 233, + 659 + ], + "score": 0.72, + "content": "\\mathrm { V a l i d } = 0 . 3 5 7", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 648, + 403, + 661 + ], + "score": 1.0, + "content": "(models provided by Kusner et al. 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To verify that the problem is likely not caused by our proposed graph matching loss,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 720, + 286, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 286, + 734 + ], + "score": 1.0, + "content": "we synthetically evaluate it in the following.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34.5 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 309, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 309, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2018", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 127, + 80, + 482, + 234 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 127, + 80, + 482, + 234 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 127, + 80, + 482, + 234 + ], + "spans": [ + { + "bbox": [ + 127, + 80, + 482, + 234 + ], + "score": 0.982, + "html": "
log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs c = 20-0.578-0.7220.5650.4670.3140.598
Ours c = 40-0.504-0.6170.5110.4160.4840.635
Ours c = 60-0.492-0.5850.5200.4060.5830.613
Ours c = 80-0.475-0.5570.4580.3530.6660.661
Ours c = 20-0.660-0.9160.4850.4850.4570.575
marrniruirrnOurs c = 40-0.537-0.7440.5420.5420.6180.617
Ours c = 60-0.4860.5170.5170.6950.570
Ours c = 80-0.482-0.656 -0.6280.5570.5570.7600.616
NoGM c = 80
CVAE c = 60-2.388-2.5530.810 0.1030.8100.2410.610
GVAE c = 2010.6020.1030.6750.900
110.6020.0930.809
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Baselines CVAE (Gomez-Bombarelli et al., 2016) and ´", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 281, + 463, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 281, + 463, + 293 + ], + "score": 1.0, + "content": "GVAE(Kusner et al., 2017) are listed only for the embedding size with the highest Valid.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 313, + 505, + 347 + ], + "lines": [], + "index": 8, + "bbox_fs": [ + 105, + 313, + 505, + 348 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 352, + 505, + 430 + ], + "lines": [ + { + "bbox": [ + 105, + 353, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 365 + ], + "score": 1.0, + "content": "Looking at the baselines, CVAE can output only very few valid samples as expected, while GVAE", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 293, + 376 + ], + "score": 1.0, + "content": "generates the highest number of valid samples", + "type": "text" + }, + { + "bbox": [ + 294, + 364, + 319, + 375 + ], + "score": 0.85, + "content": "( 6 0 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 363, + 460, + 376 + ], + "score": 1.0, + "content": "but of very low variance (less than", + "type": "text" + }, + { + "bbox": [ + 460, + 364, + 479, + 374 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 363, + 505, + 376 + ], + "score": 1.0, + "content": "). 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However, there seems to be no strong correlation between ELBO and Valid, which makes", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 499, + 250, + 509 + ], + "spans": [ + { + "bbox": [ + 107, + 499, + 250, + 509 + ], + "score": 1.0, + "content": "model selection somewhat difficult.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 442, + 505, + 509 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 523, + 199, + 535 + ], + "lines": [ + { + "bbox": [ + 105, + 523, + 200, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 200, + 537 + ], + "score": 1.0, + "content": "4.3 ZINC DATASET", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 544, + 505, + 589 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 558 + ], + "score": 1.0, + "content": "ZINC dataset (Irwin et al., 2012) contains about 250k drug-like organic molecules of up to 38 heavy", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 359, + 569 + ], + "score": 1.0, + "content": "atoms with 9 distinct atomic numbers and 4 bond types, we set", + "type": "text" + }, + { + "bbox": [ + 360, + 556, + 390, + 567 + ], + "score": 0.86, + "content": "k = 3 8", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 556, + 393, + 569 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 393, + 556, + 423, + 567 + ], + "score": 0.89, + "content": "d _ { e } = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 423, + 556, + 441, + 569 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 441, + 556, + 471, + 567 + ], + "score": 0.92, + "content": "d _ { n } = 9", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 556, + 506, + 569 + ], + "score": 1.0, + "content": "and use", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "the same split strategy as with QM9. 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The setup is equivalent as for QM9 but with a wider encoder (64, 128, 256 channels).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 601, + 486, + 616 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 626, + 503, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 312, + 639 + ], + "score": 1.0, + "content": "Decoder Quality Metrics. Our best model with", + "type": "text" + }, + { + "bbox": [ + 313, + 627, + 345, + 637 + ], + "score": 0.89, + "content": "c = 4 0", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 627, + 400, + 639 + ], + "score": 1.0, + "content": "has archived", + "type": "text" + }, + { + "bbox": [ + 400, + 627, + 464, + 637 + ], + "score": 0.85, + "content": "\\mathrm { V a l i d } = 0 . 1 3 5", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 627, + 505, + 639 + ], + "score": 1.0, + "content": ", which is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "clearly worse than for QM9. For comparison, CVAE failed to generated any valid sample, while", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 648, + 439, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 173, + 661 + ], + "score": 1.0, + "content": "GVAE achieved", + "type": "text" + }, + { + "bbox": [ + 173, + 649, + 233, + 659 + ], + "score": 0.72, + "content": "\\mathrm { V a l i d } = 0 . 3 5 7", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 648, + 403, + 661 + ], + "score": 1.0, + "content": "(models provided by Kusner et al. 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To verify that the problem is likely not caused by our proposed graph matching loss,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 720, + 286, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 286, + 734 + ], + "score": 1.0, + "content": "we synthetically evaluate it in the following.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 665, + 505, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 151, + 80, + 457, + 196 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 151, + 80, + 457, + 196 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 151, + 80, + 457, + 196 + ], + "spans": [ + { + "bbox": [ + 151, + 80, + 457, + 196 + ], + "score": 0.983, + "html": "
Noisek =15k =20k =25k =30k =35k = 40
∈A,E,F =099.5599.5299.4599.499.4799.46
∈A = 0.490.9589.5586.6487.2587.0786.78
∈A= 0.882.1481.0179.6279.6779.0778.69
€E=0.497.1196.4295.6595.9095.6995.69
€E=0.892.0390.7689.7689.7088.3489.40
€F=0.498.3298.2397.6498.2898.2497.90
∈F=0.897.2697.0096.6096.9196.5697.17
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Noisek =15k =20k =25k =30k =35k = 40
∈A,E,F =099.5599.5299.4599.499.4799.46
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In AAAI, 2017.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5 + }, + { + "type": "title", + "bbox": [ + 108, + 493, + 161, + 505 + ], + "lines": [ + { + "bbox": [ + 106, + 492, + 163, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 163, + 507 + ], + "score": 1.0, + "content": "APPENDIX", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 108, + 519, + 267, + 532 + ], + "lines": [ + { + "bbox": [ + 105, + 518, + 269, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 269, + 534 + ], + "score": 1.0, + "content": "A MAX-POOLING MATCHING", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 545, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "In this section we briefly review max-pooling matching algorithm of Cho et al. (2014). In its relaxed", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 555, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 282, + 570 + ], + "score": 1.0, + "content": "form, a continuous correspondence matrix", + "type": "text" + }, + { + "bbox": [ + 282, + 557, + 348, + 570 + ], + "score": 0.93, + "content": "X ^ { * } \\in [ 0 , 1 ] ^ { k \\times n }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 556, + 455, + 570 + ], + "score": 1.0, + "content": "between nodes of graphs", + "type": "text" + }, + { + "bbox": [ + 456, + 558, + 465, + 568 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 556, + 484, + 570 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 485, + 555, + 494, + 568 + ], + "score": 0.86, + "content": "\\widetilde { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 556, + 506, + 570 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 569, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 292, + 584 + ], + "score": 1.0, + "content": "determined based on similarities of node pairs", + "type": "text" + }, + { + "bbox": [ + 292, + 571, + 326, + 582 + ], + "score": 0.91, + "content": "i , j \\in G", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 570, + 343, + 584 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 344, + 569, + 379, + 582 + ], + "score": 0.92, + "content": "a , b \\in { \\widetilde { G } }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 570, + 505, + 584 + ], + "score": 1.0, + "content": "represented as matrix elements", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 581, + 162, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 156, + 595 + ], + "score": 0.92, + "content": "S _ { i a ; j b } \\in \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 581, + 162, + 595 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 106, + 598, + 505, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 598, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 122, + 611 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 599, + 135, + 609 + ], + "score": 0.87, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 598, + 279, + 611 + ], + "score": 1.0, + "content": "denote the column-wise replica of", + "type": "text" + }, + { + "bbox": [ + 279, + 599, + 293, + 609 + ], + "score": 0.88, + "content": "X ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 598, + 505, + 611 + ], + "score": 1.0, + "content": ". The relaxed graph matching problem is expressed", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 102, + 604, + 501, + 630 + ], + "spans": [ + { + "bbox": [ + 102, + 604, + 235, + 630 + ], + "score": 1.0, + "content": "as quadratic programming task", + "type": "text" + }, + { + "bbox": [ + 235, + 611, + 330, + 624 + ], + "score": 0.9, + "content": "\\mathbf { x } ^ { * } = \\arg \\operatorname* { m a x } _ { \\mathbf { x } } \\mathbf { x } ^ { T } S \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 604, + 371, + 630 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 372, + 611, + 433, + 624 + ], + "score": 0.81, + "content": "\\textstyle \\sum _ { i = 1 } ^ { n } \\mathbf { x } _ { i a } \\ \\leq \\ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 604, + 438, + 630 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 438, + 610, + 501, + 625 + ], + "score": 0.76, + "content": "\\textstyle \\sum _ { a = 1 } ^ { k } \\mathbf { x } _ { i a } \\ \\leq \\ 1", + "type": "inline_equation" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 622, + 506, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 124, + 638 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 623, + 178, + 636 + ], + "score": 0.94, + "content": "\\mathbf { x } \\in [ 0 , 1 ] ^ { k n }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 622, + 506, + 638 + ], + "score": 1.0, + "content": ". The optimization strategy of choice is derived to be equivalent to the power", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 634, + 506, + 650 + ], + "spans": [ + { + "bbox": [ + 104, + 634, + 241, + 650 + ], + "score": 1.0, + "content": "method with iterative update rule", + "type": "text" + }, + { + "bbox": [ + 241, + 635, + 347, + 649 + ], + "score": 0.92, + "content": "\\mathbf { x } ^ { ( t + 1 ) } = S \\mathbf { x } ^ { ( t ) } / | | S \\mathbf { x } ^ { ( t ) } | | _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 634, + 470, + 650 + ], + "score": 1.0, + "content": ". The starting correspondences", + "type": "text" + }, + { + "bbox": [ + 471, + 635, + 489, + 647 + ], + "score": 0.88, + "content": "\\mathbf { x } ^ { ( 0 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 634, + 506, + 650 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "initialized as uniform and the rule is iterated until convergence; in our use case we run for a fixed", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 658, + 192, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 192, + 671 + ], + "score": 1.0, + "content": "amount of iterations.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 107, + 675, + 505, + 734 + ], + "lines": [ + { + "bbox": [ + 104, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 104, + 675, + 350, + 688 + ], + "score": 1.0, + "content": "In the context of graph matching, the matrix-vector product", + "type": "text" + }, + { + "bbox": [ + 350, + 676, + 364, + 685 + ], + "score": 0.83, + "content": "S \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "can be interpreted as sum-pooling", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 685, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 685, + 202, + 703 + ], + "score": 1.0, + "content": "over match candidates:", + "type": "text" + }, + { + "bbox": [ + 202, + 686, + 383, + 700 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathbf { x } _ { i a } \\gets \\bar { \\mathbf { x } } _ { i a } S _ { i a ; i a } + \\sum _ { j \\in N _ { i } } \\bar { \\sum _ { b \\in N _ { a } } } \\mathbf { x } _ { j b } S _ { i a ; j b } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 685, + 414, + 703 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 414, + 687, + 427, + 698 + ], + "score": 0.88, + "content": "N _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 685, + 445, + 703 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 446, + 687, + 460, + 698 + ], + "score": 0.88, + "content": "N _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 685, + 507, + 703 + ], + "score": 1.0, + "content": "denote the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 203, + 711 + ], + "score": 1.0, + "content": "set of neighbors of node", + "type": "text" + }, + { + "bbox": [ + 203, + 700, + 208, + 709 + ], + "score": 0.68, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 699, + 225, + 711 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 225, + 701, + 231, + 709 + ], + "score": 0.72, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 699, + 505, + 711 + ], + "score": 1.0, + "content": ". 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In AAAI, 2017.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 446, + 506, + 470 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 493, + 161, + 505 + ], + "lines": [ + { + "bbox": [ + 106, + 492, + 163, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 163, + 507 + ], + "score": 1.0, + "content": "APPENDIX", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 108, + 519, + 267, + 532 + ], + "lines": [ + { + "bbox": [ + 105, + 518, + 269, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 269, + 534 + ], + "score": 1.0, + "content": "A MAX-POOLING MATCHING", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 545, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "In this section we briefly review max-pooling matching algorithm of Cho et al. (2014). In its relaxed", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 555, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 282, + 570 + ], + "score": 1.0, + "content": "form, a continuous correspondence matrix", + "type": "text" + }, + { + "bbox": [ + 282, + 557, + 348, + 570 + ], + "score": 0.93, + "content": "X ^ { * } \\in [ 0 , 1 ] ^ { k \\times n }", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 556, + 455, + 570 + ], + "score": 1.0, + "content": "between nodes of graphs", + "type": "text" + }, + { + "bbox": [ + 456, + 558, + 465, + 568 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 556, + 484, + 570 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 485, + 555, + 494, + 568 + ], + "score": 0.86, + "content": "\\widetilde { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 556, + 506, + 570 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 569, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 292, + 584 + ], + "score": 1.0, + "content": "determined based on similarities of node pairs", + "type": "text" + }, + { + "bbox": [ + 292, + 571, + 326, + 582 + ], + "score": 0.91, + "content": "i , j \\in G", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 570, + 343, + 584 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 344, + 569, + 379, + 582 + ], + "score": 0.92, + "content": "a , b \\in { \\widetilde { G } }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 570, + 505, + 584 + ], + "score": 1.0, + "content": "represented as matrix elements", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 581, + 162, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 156, + 595 + ], + "score": 0.92, + "content": "S _ { i a ; j b } \\in \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 581, + 162, + 595 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 544, + 506, + 595 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 598, + 505, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 598, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 122, + 611 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 599, + 135, + 609 + ], + "score": 0.87, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 598, + 279, + 611 + ], + "score": 1.0, + "content": "denote the column-wise replica of", + "type": "text" + }, + { + "bbox": [ + 279, + 599, + 293, + 609 + ], + "score": 0.88, + "content": "X ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 598, + 505, + 611 + ], + "score": 1.0, + "content": ". The relaxed graph matching problem is expressed", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 102, + 604, + 501, + 630 + ], + "spans": [ + { + "bbox": [ + 102, + 604, + 235, + 630 + ], + "score": 1.0, + "content": "as quadratic programming task", + "type": "text" + }, + { + "bbox": [ + 235, + 611, + 330, + 624 + ], + "score": 0.9, + "content": "\\mathbf { x } ^ { * } = \\arg \\operatorname* { m a x } _ { \\mathbf { x } } \\mathbf { x } ^ { T } S \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 604, + 371, + 630 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 372, + 611, + 433, + 624 + ], + "score": 0.81, + "content": "\\textstyle \\sum _ { i = 1 } ^ { n } \\mathbf { x } _ { i a } \\ \\leq \\ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 604, + 438, + 630 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 438, + 610, + 501, + 625 + ], + "score": 0.76, + "content": "\\textstyle \\sum _ { a = 1 } ^ { k } \\mathbf { x } _ { i a } \\ \\leq \\ 1", + "type": "inline_equation" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 622, + 506, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 124, + 638 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 623, + 178, + 636 + ], + "score": 0.94, + "content": "\\mathbf { x } \\in [ 0 , 1 ] ^ { k n }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 622, + 506, + 638 + ], + "score": 1.0, + "content": ". The optimization strategy of choice is derived to be equivalent to the power", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 634, + 506, + 650 + ], + "spans": [ + { + "bbox": [ + 104, + 634, + 241, + 650 + ], + "score": 1.0, + "content": "method with iterative update rule", + "type": "text" + }, + { + "bbox": [ + 241, + 635, + 347, + 649 + ], + "score": 0.92, + "content": "\\mathbf { x } ^ { ( t + 1 ) } = S \\mathbf { x } ^ { ( t ) } / | | S \\mathbf { x } ^ { ( t ) } | | _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 634, + 470, + 650 + ], + "score": 1.0, + "content": ". The starting correspondences", + "type": "text" + }, + { + "bbox": [ + 471, + 635, + 489, + 647 + ], + "score": 0.88, + "content": "\\mathbf { x } ^ { ( 0 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 634, + 506, + 650 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "initialized as uniform and the rule is iterated until convergence; in our use case we run for a fixed", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 658, + 192, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 192, + 671 + ], + "score": 1.0, + "content": "amount of iterations.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34.5, + "bbox_fs": [ + 102, + 598, + 506, + 671 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 675, + 505, + 734 + ], + "lines": [ + { + "bbox": [ + 104, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 104, + 675, + 350, + 688 + ], + "score": 1.0, + "content": "In the context of graph matching, the matrix-vector product", + "type": "text" + }, + { + "bbox": [ + 350, + 676, + 364, + 685 + ], + "score": 0.83, + "content": "S \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "can be interpreted as sum-pooling", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 104, + 685, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 685, + 202, + 703 + ], + "score": 1.0, + "content": "over match candidates:", + "type": "text" + }, + { + "bbox": [ + 202, + 686, + 383, + 700 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathbf { x } _ { i a } \\gets \\bar { \\mathbf { x } } _ { i a } S _ { i a ; i a } + \\sum _ { j \\in N _ { i } } \\bar { \\sum _ { b \\in N _ { a } } } \\mathbf { x } _ { j b } S _ { i a ; j b } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 685, + 414, + 703 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 414, + 687, + 427, + 698 + ], + "score": 0.88, + "content": "N _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 685, + 445, + 703 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 446, + 687, + 460, + 698 + ], + "score": 0.88, + "content": "N _ { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 685, + 507, + 703 + ], + "score": 1.0, + "content": "denote the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 203, + 711 + ], + "score": 1.0, + "content": "set of neighbors of node", + "type": "text" + }, + { + "bbox": [ + 203, + 700, + 208, + 709 + ], + "score": 0.68, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 699, + 225, + 711 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 225, + 701, + 231, + 709 + ], + "score": 0.72, + "content": "a", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 699, + 505, + 711 + ], + "score": 1.0, + "content": ". 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log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs/imp c = 20-0.784-0.9190.5720.4820.2380.718
Ours/imp c = 40-0.671-0.7760.6110.5180.3070.665
Ours/imp c = 60-0.618-0.7140.5660.4480.4160.710
Ours/imp c = 80-0.627-0.7130.5830.4510.4750.681
'puoounOurs/imp c = 20-0.857-1.0910.5330.5330.2280.610
Ours/imp c = 40-0.737-0.9320.5620.5620.4200.758
Ours/imp c = 60-0.634-0.7970.5870.5870.4590.730
Ours/imp c = 80-0.642-0.7770.5710.5710.5200.719
", + "type": "table", + "image_path": "a76c8185c941b106204a10b31fe2e281f8fa921c9f2ee2e64b6e0b9818bb1045.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 122, + 80, + 486, + 119.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 122, + 119.0, + 486, + 158.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 122, + 158.0, + 486, + 197.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 212, + 504, + 235 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 211, + 505, + 224 + ], + "spans": [ + { + "bbox": [ + 106, + 211, + 505, + 224 + ], + "score": 1.0, + "content": "Table 3: Performance on conditional and unconditional QM9 models with implicit node probabili-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 223, + 372, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 372, + 236 + ], + "score": 1.0, + "content": "ties. 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log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs/imp c = 20-0.784-0.9190.5720.4820.2380.718
Ours/imp c = 40-0.671-0.7760.6110.5180.3070.665
Ours/imp c = 60-0.618-0.7140.5660.4480.4160.710
Ours/imp c = 80-0.627-0.7130.5830.4510.4750.681
'puoounOurs/imp c = 20-0.857-1.0910.5330.5330.2280.610
Ours/imp c = 40-0.737-0.9320.5620.5620.4200.758
Ours/imp c = 60-0.634-0.7970.5870.5870.4590.730
Ours/imp c = 80-0.642-0.7770.5710.5710.5200.719
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log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs c = 20-0.578-0.7220.5650.4670.3140.598
Ours c = 40-0.504-0.6170.5110.4160.4840.635
Ours c = 60-0.492-0.5850.5200.4060.5830.613
Ours c = 80-0.475-0.5570.4580.3530.6660.661
Ours c = 20-0.660-0.9160.4850.4850.4570.575
marrniruirrnOurs c = 40-0.537-0.7440.5420.5420.6180.617
Ours c = 60-0.4860.5170.5170.6950.570
Ours c = 80-0.482-0.656 -0.6280.5570.5570.7600.616
NoGM c = 80
CVAE c = 60-2.388-2.5530.810 0.1030.8100.2410.610
GVAE c = 2010.6020.1030.6750.900
110.6020.0930.809
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log pe(G|z)ELBOValidAccurateUniqueNovel
'puooOurs/imp c = 20-0.784-0.9190.5720.4820.2380.718
Ours/imp c = 40-0.671-0.7760.6110.5180.3070.665
Ours/imp c = 60-0.618-0.7140.5660.4480.4160.710
Ours/imp c = 80-0.627-0.7130.5830.4510.4750.681
'puoounOurs/imp c = 20-0.857-1.0910.5330.5330.2280.610
Ours/imp c = 40-0.737-0.9320.5620.5620.4200.758
Ours/imp c = 60-0.634-0.7970.5870.5870.4590.730
Ours/imp c = 80-0.642-0.7770.5710.5710.5200.719
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University + +Angela Fan, Alexei Baevski, Yann N. Dauphin, Michael Auli Facebook AI Research + +# ABSTRACT + +Self-attention is a useful mechanism to build generative models for language and images. It determines the importance of context elements by comparing each element to the current time step. In this paper, we show that a very lightweight convolution can perform competitively to the best reported self-attention results. Next, we introduce dynamic convolutions which are simpler and more efficient than self-attention. We predict separate convolution kernels based solely on the current time-step in order to determine the importance of context elements. The number of operations required by this approach scales linearly in the input length, whereas self-attention is quadratic. Experiments on large-scale machine translation, language modeling and abstractive summarization show that dynamic convolutions improve over strong self-attention models. On the WMT’14 English-German test set dynamic convolutions achieve a new state of the art of 29.7 BLEU.1 + +# 1 INTRODUCTION + +There has been much recent progress in sequence modeling through recurrent neural networks (RNN; Sutskever et al. 2014; Bahdanau et al. 2015; Wu et al. 2016), convolutional networks (CNN; Kalchbrenner et al. 2016; Gehring et al. 2016; 2017; Kaiser et al. 2017) and self-attention models (Paulus et al., 2017; Vaswani et al., 2017). RNNs integrate context information by updating a hidden state at every time-step, CNNs summarize a fixed size context through multiple layers, while as self-attention directly summarizes all context. + +Attention assigns context elements attention weights which define a weighted sum over context representations (Bahdanau et al., 2015; Sukhbaatar et al., 2015; Chorowski et al., 2015; Luong et al., 2015). Source-target attention summarizes information from another sequence such as in machine translation while as self-attention operates over the current sequence. Self-attention has been formulated as content-based where attention weights are computed by comparing the current time-step to all elements in the context (Figure 1a). The ability to compute comparisons over such unrestricted context sizes are seen as a key characteristic of self-attention (Vaswani et al., 2017). + +![](images/13d2a5a765bcaf746bd19db6b98f82965f33cd9fe8fdcd167d82b6a2309204aa.jpg) +Figure 1: Self-attention computes attention weights by comparing all pairs of elements to each other (a) while as dynamic convolutions predict separate kernels for each time-step (b). + +However, the ability of self-attention to model long-range dependencies has recently come into question (Tang et al., 2018) and the unlimited context size is computationally very challenging due to the quadratic complexity in the input length. Furthermore, in practice long sequences require the introduction of hierarchies (Liu et al., 2018). + +In this paper, we introduce lightweight convolutions which are depth-wise separable (Sifre, 2014; Chollet, 2017; Kaiser et al., 2017), softmax-normalized and share weights over the channel dimension. The result is a convolution with several orders of magnitude fewer weights than a standard nonseparable convolution. Different to self-attention, lightweight convolutions reuse the same weights for context elements, regardless of the current time-step. + +Dynamic convolutions build on lightweight convolutions by predicting a different convolution kernel at every time-step. The kernel is a function of the current time-step only as opposed to the entire context as in self-attention (Figure 1b). Dynamic convolutions are similar to locally connected layers in the sense that the weights change at every position, however, the difference is that weights are dynamically generated by the model rather than fixed after training (LeCun et al., 1998; Taigman et al., 2014; Chen et al., 2015). Our approach also bears similarity to location-based attention which does not access the context to determine attention weights, however, we do not directly take the attention weights from the previous time-step into account (Chorowski et al., 2015; Luong et al., 2015). Shen et al. (2018b) reduce complexity by performing attention within blocks of the input sequence and Shen et al. (2017; 2018c) perform more fine-grained attention over each feature. Shen et al. (2018a) and Gong et al. (2018) use input-dependent filters for text classification tasks. + +Our experiments show that lightweight convolutions perform competitively to strong self-attention results and that dynamic convolutions can perform even better. On WMT English-German translation dynamic convolutions achieve a new state of the art of 29.7 BLEU, on WMT English-French they match the best reported result in the literature, and on IWSLT German-English dynamic convolutions outperform self-attention by 0.8 BLEU. Dynamic convolutions achieve $20 \%$ faster runtime than a highly-optimized self-attention baseline. For language modeling on the Billion word benchmark dynamic convolutions perform as well as or better than self-attention and on CNN-DailyMail abstractive document summarization we outperform a strong self-attention model. + +# 2 BACKGROUND + +We first outline sequence to sequence learning and self-attention. Our work builds on non-separable convolutions as well as depthwise separable convolutions. + +Sequence to sequence learning maps a source sequence to a target sequence via two separate networks such as in machine translation (Sutskever et al., 2014). The encoder network computes representations for the source sequence such as an English sentence and the decoder network autoregressively generates a target sequence based on the encoder output. + +The self-attention module of Vaswani et al. (2017) applies three projections to the input $X \in$ $\mathbb { R } ^ { n \times d }$ to obtain key (K), query (Q), and value (V) representations, where $n$ is the number of time steps, $d$ the input/output dimension (Figure 2a). It also defines a number of heads $H$ where each head can learn separate attention weights over $d _ { k }$ features and attend to different positions. The module computes dot-products between key/query pairs, scales to stabilize training, and then softmax normalizes the result. Finally, it computes a weighted sum using the output of the value projection (V): + +$$ +\mathrm { A t t e n t i o n } ( Q , K , V ) = \mathrm { s o f t m a x } ( \frac { Q K ^ { T } } { \sqrt { d _ { k } } } ) V +$$ + +Depthwise convolutions perform a convolution independently over every channel. The number of parameters can be reduced from $d ^ { 2 } k$ to $d k$ where $k$ is the kernel width. The output $O \in \mathbb { R } ^ { n \times d }$ of a depthwise convolution with weight $W \in \mathbb { R } ^ { d \times k }$ for element $i$ and output dimension $c$ is defined as: + +$$ +O _ { i , c } = \mathrm { D e p t h w i s e C o n v } ( X , W _ { c , : } , i , c ) = \sum _ { j = 1 } ^ { k } W _ { c , j } \cdot X _ { ( i + j - \lceil \frac { k + 1 } { 2 } \rceil ) , c } +$$ + +# 3 LIGHTWEIGHT CONVOLUTIONS + +In this section, we introduce LightConv, a depthwise convolution which shares certain output channels and whose weights are normalized across the temporal dimension using a softmax. Compared to self-attention, LightConv has a fixed context window and it determines the importance of context elements with a set of weights that do not change over time steps. We will show that models equipped with lightweight convolutions show better generalization compared to regular convolutions and that they can be competitive to state-of-the-art self-attention models (§6). This is surprising because the common belief is that content-based self-attention mechanisms are necessary to obtaining stateof-the-art results in natural language processing applications. Furthermore, the low computational profile of LightConv enables us to formulate efficient dynamic convolutions (§4). + +![](images/e32d355bf92cc67704985b54c492b910910adc6f316a21b8764091874495bdae.jpg) +Figure 2: Illustration of self-attention, lightweight convolutions and dynamic convolutions. + +LightConv computes the following for the $i$ -th element in the sequence and output channel $c$ + +$$ +\operatorname { L i g h t C o n v } ( X , W _ { \lceil \frac { c H } { d } \rceil , : } , i , c ) = \operatorname { D e p t h w i s e C o n v } ( X , \operatorname { s o f t m a x } ( W _ { \lceil \frac { c H } { d } \rceil , : } ) , i , c ) +$$ + +Weight sharing. We tie the parameters of every subsequent number of $\frac { d } { H }$ channels, which reduces the number of parameters by a factor of $\textstyle { \frac { d } { H } }$ . As illustration, a regular convolution requires 7,340,032 $( d ^ { 2 } \times k )$ weights for $d = 1 0 2 4$ and $k = 7$ , a depthwise separable convolution has 7,168 weights $( d \times k )$ , and with weight sharing, $H = 1 6$ , we have only 112 $\left( H \times k \right)$ weights. We will see that this vast reduction in the number of parameters is crucial to make dynamic convolutions possible on current hardware. Wang & Ji (2018) ties the weights of all channels $\mathrm { ( H } = 1 $ ). + +Softmax-normalization. We normalize the weights $W \in \mathbb { R } ^ { H \times k }$ across the temporal dimension $k$ using a softmax operation: + +$$ +{ \mathrm { s o f t m a x } } ( W ) _ { h , j } = { \frac { \displaystyle \exp W _ { h , j } } { \displaystyle \sum _ { j ^ { \prime } = 1 } ^ { k } \exp W _ { h , j ^ { \prime } } } } +$$ + +Module. Figure 2b shows the architecture of the module where we integrate LightConv. We first apply an input projection mapping from dimension $d$ to $2 d$ , followed by a gated linear unit (GLU; Dauphin et al. 2017), and the actual lightweight convolution. The GLU uses half of the inputs as gates by applying sigmoid units and then computes a pointwise product with the other inputs. We also apply an output projection of size $W ^ { O } \in \hat { \mathbb { R } } ^ { d \times d }$ to the output of LightConv. + +Regularization. We found DropConnect to be a good regularizer for the LightConv module (Wan et al., 2013). Specifically, we drop every entry of the normalized weights sof tmax $( W )$ with probability $p$ and divide it by $1 - p$ during training. This amounts to removing some of the temporal information within a channel. + +Implementation. Existing CUDA primitives for convolutions did not perform very well to implement LightConv and we found the following solution faster on short sequences: We copy and expand the normalized weights $W \in \mathbb { R } ^ { H \times k }$ to a band matrix of size $B H \times n \times n$ , where $B$ is the batch size. We then reshape and transpose the inputs to size $\begin{array} { r } { B H \times n \times \frac { d } { H } } \end{array}$ , and perform a batch matrix multiplication to get the outputs. We expect a dedicated CUDA kernel to be much more efficient. + +# 4 DYNAMIC CONVOLUTIONS + +A dynamic convolution has kernels that vary over time as a learned function of the individual time steps. A dynamic version of standard convolutions would be impractical for current GPUs due to their large memory requirements. We address this problem by building on LightConv which drastically reduces the number of parameters (§3). + +DynamicConv takes the same form as LightConv but uses a time-step dependent kernel that is computed using a function f : Rd → RH×k: + +$$ +\mathrm { D y n a m i c C o n v } ( X , i , c ) = \mathrm { L i g h t C o n v } ( X , f ( X _ { i } ) _ { h , : } , i , c ) +$$ + +we model $f$ with a simple linear module with learned weights $W ^ { Q } \in \mathbb { R } ^ { H \times k \times d }$ , i.e., $f ( X _ { i } ) =$ $\textstyle \sum _ { c = 1 } ^ { d } W _ { h , j , c } ^ { Q } X _ { i , c } .$ . + +Similar to self-attention, DynamicConv changes the weights assigned to context elements over time. However, the weights of DynamicConv do not depend on the entire context, they are a function of the current time-step only. Self-attention requires a quadratic number of operations in the sentence length to compute attention weights, while the computation of dynamic kernels for DynamicConv scales linearly in the sequence length. + +Our experiments (§6) show that models using DynamicConv match or exceed the performance of state-of-the-art models that use context-based self-attention. This challenges the typical intuitions about the importance of content-based self-attention in natural language processing applications. + +# 5 EXPERIMENTAL SETUP + +# 5.1 MODEL ARCHITECTURE + +We use an encoder-decoder architecture for sequence to sequence learning (Sutskever et al., 2014) and we closely follow the architectural choices presented in Vaswani et al. (2017). Our self-attention baseline is the fairseq re-implementation of the Transformer Big architecture (Ott et al., 2018).2 + +The encoder and decoder networks have $N$ blocks each. Encoder blocks contain two sub-blocks: The first is a self-attention module (§2), a LightConv module (3), or a DynamicConv module $( \ S 4 )$ . The second sub-block is a feed-forward module: $R e L U ( W ^ { 1 } X + b _ { 1 } ) W ^ { 2 } + b _ { 2 }$ where $W ^ { 1 } \in \mathbb { R } ^ { d \times \breve { d } _ { f f } }$ , $W ^ { 2 } \in \mathbb { R } ^ { d _ { f f } \times d }$ and $d = 1 0 2 4$ , $d _ { f f } = 4 0 9 6$ unless otherwise stated. Sub-blocks are surrounded by residual connections (He et al., 2015) and layer normalization (Ba et al., 2016). + +Decoder blocks are identical except that they have an additional source-target attention sub-block between the self-attention and feed-forward module. The source-target attention is equivalent to the self-attention module, except that the values and keys are projections over the encoder output for each source word. + +Words are fed to the encoder and decoder networks in $d$ dimensional embeddings. We add sinusoidal position embeddings to encode the absolute position of each word in the sequence (Kaiser et al., 2017; Vaswani et al., 2017). The model computes a distribution over vocabulary $V$ by transforming the decoder output via a linear layer with weights $W ^ { V } \in \mathbb { R } ^ { d \times V }$ followed by softmax normalization. + +LightConv and DynamicConv are identical to Transformer Big, except that self-attention modules are swapped with either fixed or dynamic convolutions. These models also use fewer parameters per block (cf. Figure 2b and Figure 2c) and we therefore increase the number of blocks to $N = 7$ for the encoder to roughly match the parameter count of Transformer Big. We generally set $H = 1 6$ . Both LightConv and DynamicConv set the the encoder and decoder kernel sizes to 3, 7, 15, 31x4 for each block respectively; except for the decoder where we have only three top layers with kernel size 31. + +# 5.2 DATASETS AND EVALUATION + +To get a thorough understanding of the limitations of LightConv and DynamicConv we evaluate on three different tasks: machine translation, language modeling and abstractive summarization. + +Machine Translation. We report results on four benchmarks: For WMT English to German (EnDe) we replicate the setup of Vaswani et al. (2017), based on WMT’16 training data with 4.5M sentence pairs, we validate on newstest2013 and test on newstest2014.3 The vocabulary is a 32K joint source and target byte pair encoding (BPE; Sennrich et al. 2016). For WMT English to French (EnFr), we borrow the setup of Gehring et al. (2017) with 36M training sentence pairs from WMT’14, validate on newstes $2 0 1 2 + 2 0 1 3$ and test on newstest2014. The 40K vocabulary is based on a joint source and target BPE factorization. + +For WMT English to Chinese (Zh-En), we pre-process the WMT’17 training data following Hassan et al. (2018) resulting in 20M sentence pairs. We develop on devtest2017 and test on newstest2017. For IWSLT’14 German-English (De-En) we replicate the setup of Edunov et al. (2018) for 160K training sentence pairs and 10K joint BPE vocabulary. For this benchmark only, data is lowercased. + +For WMT En-De, WMT En-Fr, we measure case-sensitive tokenized BLEU.4 For WMT En-De only we apply compound splitting similar to Vaswani et al. (2017). For WMT Zh-En we measure detokenized BLEU to be comparable to Hassan et al. (2018).5 + +We train three random initializations of a each configuration and report test accuracy of the seed which resulted in the highest validation BLEU. Ablations are conducted on the validation set and we report the mean BLEU and standard deviation on this set. WMT En-De, WMT En-Fr are based on beam search with a beam width of 5, IWSLT uses beam 4, and WMT Zh-En beam 8 following Hassan et al. (2018). For all datasets, we tune a length penalty as well as the number of checkpoints to average on the validation set. + +Language Modeling. We evaluate on the large-scale Billion word dataset (Chelba et al., 2013) which contains 768M tokens and has a vocabulary of nearly 800K types. Sentences in this dataset are shuffled and we batch sentences independently of each other. Models are evaluated in terms of perplexity on the valid and test portions. + +Summarization. We test the model’s ability to process long documents on the CNN-DailyMail summarization task (Hermann et al., 2015; Nallapati et al., 2016) comprising over 280K news articles paired with multi-sentence summaries. Articles are truncated to 400 tokens (See et al., 2017) and we use a BPE vocabulary of 30K types (Fan et al., 2017). We evaluate in terms of F1-Rouge, that is Rouge-1, Rouge-2 and Rouge-L (Lin, 2004).6 When generating summaries, we follow standard practice in tuning the maximum output length, disallowing repeating the same trigram, and we apply a stepwise length penalty (Paulus et al., 2017; Fan et al., 2017; Wu et al., 2016). + +# 5.3 TRAINING AND HYPERPARAMETERS + +Translation. We use a dropout rate of 0.3 for WMT En-De and IWSLT De-En, 0.1 for WMT EnFr, and 0.25 for WMT Zh-En. WMT models are optimized with Adam and a cosine learning rate schedule (Kingma & Ba, 2015; Loshchilov & Hutter, 2016) where the learning rate is first linearly warmed up for 10K steps from $1 0 ^ { - 7 }$ to $1 0 ^ { - 3 }$ and then annealed following a cosine rate with a single cycle. For IWSLT’14 De-En, we use a schedule based on the inverse square root of the current step (Vaswani et al., 2017). We train the WMT models on 8 NVIDIA V100 GPUs for a total of 30K steps on WMT En-De, 40K steps for WMT Zh-En and 80K steps for WMT En-Fr. For IWSLT De-En we train for 50K steps on a single GPU. + +We use floating point 16 precision and accumulate the gradients for 16 batches before applying an update (Ott et al., 2018), except for IWSLT where we do not accumulate gradients. Batches contain up to 459K source tokens and the same number of target tokens for both WMT En-De and WMT Zh-En, 655K for En-Fr, and 4K for IWSLT De-En. We use label smoothing with 0.1 weight for the uniform prior distribution over the vocabulary (Szegedy et al., 2015; Pereyra et al., 2017). + +Language Modeling. We follow the same setup as for translation but remove the encoder module. For the Billion word benchmark we use an adaptive softmax output layer to reduce the computational burden of the large vocabulary (Grave et al., 2016; Press & Wolf, 2017) and tie it with variable sized input word embeddings (Anonymous et al., 2018). The first 60K types in the adaptive softmax have dimension 1024, the 100K types dimension 256, and the last 633K types have size 64. + +Table 1: Machine translation accuracy in terms of BLEU for WMT En-De and WMT En-Fr on newstest2014. + +
ModelParam (En-De)WMT En-DeWMTEn-Fr
Gehring et al. (2017)216M25.240.5
Vaswani et al. (2017)213M28.441.0
Ahmed et al. (2017)213M28.941.4
Chen et al. (2018)379M28.541.0
Shaw et al. (2018)=29.241.5
Ott et al. (2018)210M29.343.2
LightConv202M28.943.1
DynamicConv213M29.743.2
+ +Table 2: Machine translation accuracy in terms of BLEU on IWSLT and WMT Zh-En. + +
ModelParam (Zh-En)IWSLTWMT Zh-En
Deng et al. (2018) Hassan et al. (2018)=33.11
1 292M124.2
Self-attention baseline285M34.4 34.823.8
LightConv24.3
DynamicConv296M35.224.4
+ +We train on 32 GPUs with batches of 65K tokens for 975K updates. As optimizer we use Nesterov’s accelerated gradient method (Sutskever et al., 2013) with a momentum value of 0.99 and we renormalize gradients if their norm exceeds 0.1 (Pascanu et al., 2013). The learning rate is linearly warmed up from $1 0 ^ { - 7 }$ to 1 for 16K steps and then annealed using a cosine learning rate schedule (Loshchilov & Hutter, 2016) with one cycle. + +Summarization. We train with Adam using the cosine learning rate schedule with a warmup of 10K steps and a period of 20K updates. We use weight decay 1e-3 and dropout 0.3. + +# 6 RESULTS + +# 6.1 MACHINE TRANSLATION + +We first report results on WMT En-De and WMT En-Fr where we compare to the best results in the literature, most of which are based on self-attention. Table 1 shows that LightConv performs very competitively and only trails the state of the art result by 0.1 BLEU on WMT En-Fr; the state of the art is based on self-attention (Ott et al., 2018). This is despite the simplicity of LightConv which operates with a very small number of fixed weights over all time steps whereas self-attention computes dot-products with all context elements at every time-step. + +DynamicConv outperforms the best known result on WMT En-De by 0.4 BLEU and achieves a new state of the art, whereas on WMT En-Fr it matches the state of the art. This shows that content-based self-attention is not necessary to achieve good accuracy on large translation benchmarks. + +IWSLT is a much smaller benchmark and we therefore switch to a smaller architecture: $d _ { f f } = 1 0 2 4$ , $d = 5 1 2$ , and $H = 4$ . The self-attention baseline on this dataset is the best reported result in the literature (Table 2).7 LightConv outperforms this baseline by 0.4 BLEU and DynamicConv improves by 0.8 BLEU. We further run experiments on WMT Zh-En translation to evaluate on a non-European language. LightConv outperforms the baseline by 0.5 BLEU and DynamicConv by 0.6 BLEU. + +Table 3: Ablation on WMT English-German newstest2013. $( + )$ indicates that a result includes all preceding features. Speed results based on beam size 4, batch size 256 on an NVIDIA P100 GPU. + +
ModelParamBLEUSent/sec
Vaswani et al. (2017)213M26.4=
Self-attention baseline (k=inf,H=16)210M26.9 ± 0.152.1 ± 0.1
Self-attention baseline (k=3,7,15,31x3, H=16)210M26.9 ± 0.354.9 ± 0.2
CNN (k=3)208M25.9 ± 0.268.1 ± 0.3
CNN Depthwise (k=3,H=1024)195M26.1 ± 0.267.1 ± 1.0
+ Increasing kernel (k=3,7,15,31x4,H=1024)195M26.4± 0.263.3 ± 0.1
+ DropConnect (H=1024)195M26.5 ± 0.263.3 ± 0.1
+ Weight sharing (H=16)195M26.5 ± 0.163.7 ± 0.4
+ Softmax-normalized weights [LightConv] (H=16)195M26.6 ± 0.263.6 ± 0.1
+ Dynamic weights [DynamicConv] (H=16)200M26.9 ± 0.262.6 ± 0.4
Note: DynamicConv(H=16) w/o softmax-normalization200Mdiverges
AAN decoder + self-attn encoder260M26.8 ± 0.159.5 ± 0.1
AAN decoder+ AAN encoder310M22.5 ± 0.159.2 ± 2.1
+ +# 6.2 MODEL ABLATION + +In this section we evaluate the impact of the various choices we made for LightConv (§3) and DynamicConv (§4). We first show that limiting the maximum context size of self-attention has no impact on validation accuracy (Table 3). Note that our baseline is stronger than the original result of Vaswani et al. (2017). Next, we replace self-attention blocks with non-separable convolutions (CNN) with kernel size 3 and input/output dimension $d = 1 0 2 4$ . The CNN block has no input and output projections compared to the baseline and we add one more encoder layer to assimilate the parameter count. This CNN with a narrow kernel trails self-attention by 1 BLEU. + +We improve this result by switching to a depthwise separable convolution (CNN Depthwise) with input and output projections of size $d = 1 0 2 4$ . When we progressively increase the kernel width from lower to higher layers then this further improves accuracy. This narrows the gap to self-attention to only 0.5 BLEU. DropConnect gives a slight performance improvement and weight sharing does not decrease performance. Adding softmax normalization to the weights is only 0.3 BLEU below the accuracy of the baseline. This corresponds to LightConv. In Appendix A we compare softmaxnormalization to various alternatives. Finally, dynamic convolutions (DynamicConv) achieve the same validation accuracy as self-attention with slightly fewer parameters and at $20 \%$ higher inference speed. Softmax-normalization is important for DynamicConv since training diverged in our experiments when removing it. To make the models more comparable, we do not introduce GLU after the input projection. + +For comparison, we re-implemented averaged attention networks (AAN; Zhang et al. 2018) which compute a uniform average over past model states instead of a weighted average as in self-attention. Our re-implementation is efficient: we measure 129 sentences/sec for a base transformer-AAN on newstest2014 compared to 20 sentences/sec for Zhang et al. (2018). Table 3 shows that our models outperform this approach. Note that AANs still use self-attention in the encoder network while as our approach does away with self-attention both in the encoder and decoder. + +# 6.3 LANGUAGE MODELING + +As second task we consider language modeling on the Billion word benchmark. The self-attention baseline has $N = 1 6$ blocks, each with a self-attention module and a feed-forward module using $d _ { f f } = 4 0 9 6$ and $d = 1 0 2 4$ . DynamicConv uses $N = 1 7$ blocks to assimilate the parameter count and we use kernel sizes 15x2, 31x4 and 63x11. Table 4 shows that DynamicConv achieves slightly better perplexity than our self-attention baseline which is very competitive. + +Table 4: Language modeling results on the Google Billion Word test set. †does not include embedding and softmax layers + +
ModelParamValidTest
2-layer LSTM-8192-1024 (J6zefowicz et al., 2016)1130.6
Gated Convolutional Model (Dauphin et al., 2017)428M31.9
Mixture of Experts (Shazeer et al., 2017)4371M +128.0
Self-attention baseline331M26.6726.73
DynamicConv339M26.6026.67
+ +Table 5: Results on CNN-DailyMail summarization. We compare to likelihood trained approaches except for Celikyilmaz et al. (2018). + +
ModelParamRouge-1Rouge-2Rouge-l
LSTM (Paulus et al., 2017)=38.3014.8135.49
CNN (Fan et al., 2017)139.0615.3835.77
Self-attention baseline90M39.2615.9836.35
LightConv86M39.5215.9736.51
DynamicConv87M39.8416.2536.73
RL (Celikyilmaz et al., 2018)141.6919.4737.92
+ +# 6.4 ABSTRACTIVE SUMMARIZATION + +Finally, we evaluate on the CNN-DailyMail abstractive document summarization benchmark where we encode a document of up to 400 words and generate multi-sentence summaries. This tests the ability of our model to deal with longer sequences. We reduce model capacity by setting $d = 1 0 2 4$ , $d _ { f f } = 2 0 4 8$ , $H = 8$ , similar to the Transformer base setup of Vaswani et al. (2017). + +Table 5 shows that LightConv outperforms the self-attention baseline as well as comparable previous work and DynamicConv performs even better. We also show results for a reinforcement learning approach (Celikyilmaz et al., 2018) and note that RL is equally applicable to our architecture.8 + +# 7 CONCLUSION + +We presented lightweight convolutions which perform competitively to the best reported results in the literature despite their simplicity. They have a very small parameter footprint and the kernel does not change over time-steps. This demonstrates that self-attention is not critical to achieve good accuracy on the language tasks we considered. + +Dynamic convolutions build on lightweight convolutions by predicting a different kernel at every time-step, similar to the attention weights computed by self-attention. The dynamic weights are a function of the current time-step only rather than the entire context. + +Our experiments show that lightweight convolutions can outperform a strong self-attention baseline on WMT’17 Chinese-English translation, IWSLT’14 German-English translation and CNNDailyMail summarization. Dynamic convolutions improve further and achieve a new state of the art on the test set of WMT’14 English-German. Both lightweight convolution and dynamic convolution are $20 \%$ faster at runtime than self-attention. On Billion word language modeling we achieve comparable results to self-attention. + +We are excited about the future of dynamic convolutions and plan to apply them to other tasks such as question answering and computer vision where inputs are even larger than the tasks we considered in this paper. + +REFERENCES +Karim Ahmed, Nitish Shirish Keskar, and Richard Socher. Weighted transformer network for machine translation. arxiv, abs/1711.02132, 2017. +Jimmy Lei Ba, Jamie Ryan Kiros, and Geoffrey E Hinton. Layer normalization. arXiv, abs/1607.06450, 2016. +Dzmitry Bahdanau, Kyunghyun Cho, and Yoshua Bengio. Neural machine translation by jointly learning to align and translate. In Proc. of ICLR, 2015. +Asli Celikyilmaz, Antoine Bosselut, Xiaodong He, and Yejin Choi. Deep communicating agents for abstractive summarization. In Proc. of NAACL, 2018. +Ciprian Chelba, Tomas Mikolov, Mike Schuster, Qi Ge, Thorsten Brants, Phillipp Koehn, and Tony Robinson. 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Neural machine translation of rare words with subword units. In Proc. of ACL, 2016. + +Peter Shaw, Jakob Uszkoreit, and Ashish Vaswani. Self-attention with relative position representations. In Proc. of NAACL, 2018. + +Noam Shazeer, Azalia Mirhoseini, Krzysztof Maziarz, Andy Davis, Quoc Le, Geoffrey Hinton, and Jeff Dean. Outrageously large neural networks: The sparsely-gated mixture-of-experts layer. In Proc. of ICLR, 2017. + +Dinghan Shen, Martin Renqiang Min, Yitong Li, and Lawrence Carin. Learning context-sensitive convolutional filters for text processing. In Proc. of EMNLP, 2018a. + +Tao Shen, Tianyi Zhou, Guodong Long, Jing Jiang, Shirui Pan, and Chengqi Zhang. Disan: Directional self-attention network for rnn/cnn-free language understanding. arXiv, abs/1709.04696, 2017. + +Tao Shen, Tianyi Zhou, Guodong Long, Jing Jiang, and Chengqi Zhang. Bi-directional block selfattention for fast and memory-efficient sequence modeling. arXiv, abs/1804.00857, 2018b. + +Tao Shen, Tianyi Zhou, Guodong Long, Jing Jiang, and Chengqi Zhang. Fast directional selfattention mechanism. arXiv, abs/1805.00912, 2018c. + +Laurent Sifre. Rigid-motion scattering for image classification. Ph.D. thesis section 6.2, 2014. + +Sainbayar Sukhbaatar, arthur szlam, Jason Weston, and Rob Fergus. End-to-end memory networks. In Proc. of NIPS, 2015. + +Ilya Sutskever, James Martens, George E. Dahl, and Geoffrey E. Hinton. On the importance of initialization and momentum in deep learning. In ICML, 2013. + +Ilya Sutskever, Oriol Vinyals, and Quoc V Le. Sequence to Sequence Learning with Neural Networks. In Proc. of NIPS, 2014. + +Christian Szegedy, Vincent Vanhoucke, Sergey Ioffe, Jonathon Shlens, and Zbigniew Wojna. 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ACM, 2018. + +Yonghui Wu, Mike Schuster, Zhifeng Chen, Quoc V Le, Mohammad Norouzi, Wolfgang Macherey, Maxim Krikun, Yuan Cao, Qin Gao, Klaus Macherey, et al. Google’s Neural Machine Translation System: Bridging the Gap between Human and Machine Translation. arXiv, abs/1609.08144, 2016. + +Biao Zhang, Deyi Xiong, and Jinsong Su. Accelerating neural transformer via an average attention network. arXiv, abs/1805.00631, 2018. + +SUPPLEMENTARY MATERIAL + +# A COMPARISON OF SOFTMAX-NORMALIZATION TO ALTERNATIVES + +We compare our proposed softmax-normalization of weights to other alternatives in Table 6. For each setting, we use three seeds and report the mean and the standard deviation of the BLEU score on WMT English-German newstest2013. The softmax and norms are computed over the kernel dimension. Simply using the absolute value of the weights or squaring them does not make the training more stable, which shows that having all non-negative weights is not critical. Dividing the weights by the $\ell _ { 2 }$ -norm or bounding the weights with sigmoid or the hyperbolic tangent function also stablizes the training procedure; however, the softmax-normalization performs best. + +Table 6: Alternatives to softmax-normalization in DynamicConv on WMT English-German newstest2013 $\begin{array} { r } { \check { \mathbf { \Pi } } \epsilon = 1 0 ^ { - 6 } \check { \mathbf { \Pi } } . } \end{array}$ ). + +
MethodBLEU
W (No normalization)diverges
softmax(W)26.9 ± 0.2
σ(W)26.6 ± 0.3
tanh(W)25.6 ± 0.2
Wdiverges
IIW|1+e W26.8 ± 0.2
1W||2+∈ power(W, 2)
diverges
abs(W) abs(W)diverges
IW|l1+∈diverges
abs(W) IW|l2+∈26.7 ± 0.2
+ +# B ON THE CURRENT STATE OF NON-AUTOREGRESSIVE GENERATION + +In this section we compare DynamicConv to current non-autoregressive models in the literature. We measured generation speed for DynamicConv on a P100 GPU using batch size one to be comparable with other results. Results in the literature are based on either NVIDIA GTX-1080 GPUs or P100 GPUs. The effects of different GPU types is likely negligible because GPUs are vastly underutilized with batch size one. + +Table 7 shows that DynamicConv with a single decoder layer outperforms all previously reported non-autoregressive results both in terms of speed as well as accuracy. Only two non-autoregressive concurrent efforts (Guo et al., 2019; Li et al., 2019) achieve a speedup over DynamicConv with a small drop in BLEU. Notably, both Guo et al. (2019) and Li et al. (2019) distill autoregressive models into non-autoregressive models (Hinton et al., 2015), in order to improve their results. + +
Model (batch size = 1, beam size = 1)ParamBLEUSent/secTok/sec
NAT (+ FT) (Gu et al., 2018)17.725.6=
NAT (+ FT + NPD=10) (Gu et al., 2018)18.712.7=
NAT (+ FT + NPD=10O) (Gu et al., 2018)19.23.9
LT, Improved Semhash (Kaiser et al.,2018)19.89.51
IRidec 二 :1 (Lee et al., 2018)13.91511.4
IR idec 二 :2 (Lee et al., 2018)17.0=393.6
IR idec 二 : 5 (Lee et al., 2018)20.3=139.7
IR idec 二 :10 (Lee et al., 2018)21.690.4
IR Adaptive ( (Lee et al., 2018)21.51107.2
NART w/hints (Li et al., 2019)21.138.5
NART w/ hints (B = 4, 9 candidates) (Li et al., 2019)25.222.7=
ENAT Embedding l gMapping (Guo et al.,2019) ENAT Embedding Mapping (rescoring 9 candidates)20.741.7
(Guo et al., 2019)24.320.4
Autoregressive (Gu et al., 2018)22.72.5
Autoregressive (Lee et al., 2018)23.81= 54.0
Transformer (Li et al., 2019)27.31.3
Transformer (Guo et al., 2019)-27.41.61 1
DynamicConv (1-decoder layer (k=31))124M26.115.2
DynamicConv (3-decoder layers (k=3,7,15))153M27.77.2423.0 202.3
DynamicConv (6-decoder layers (k=3,7,15,31,31,31))200M28.53.9110.9
+ +Table 7: Inference speed of non-autoregressive models and small decoder versions of DynamicConv on WMT English-German newstest2014. 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It determines the importance of context elements by comparing each ele-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 232, + 469, + 244 + ], + "spans": [ + { + "bbox": [ + 141, + 232, + 469, + 244 + ], + "score": 1.0, + "content": "ment to the current time step. In this paper, we show that a very lightweight convo-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 142, + 243, + 469, + 254 + ], + "spans": [ + { + "bbox": [ + 142, + 243, + 469, + 254 + ], + "score": 1.0, + "content": "lution can perform competitively to the best reported self-attention results. 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The ability to compute comparisons over such unrestricted", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 523, + 443, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 443, + 535 + ], + "score": 1.0, + "content": "context sizes are seen as a key characteristic of self-attention (Vaswani et al., 2017).", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 456, + 506, + 535 + ] + }, + { + "type": "image", + "bbox": [ + 109, + 545, + 502, + 618 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 545, + 502, + 618 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 545, + 502, + 618 + ], + "spans": [ + { + "bbox": [ + 109, + 545, + 502, + 618 + ], + "score": 0.959, + "type": "image", + "image_path": "13d2a5a765bcaf746bd19db6b98f82965f33cd9fe8fdcd167d82b6a2309204aa.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 109, + 545, + 502, + 569.3333333333334 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 109, + 569.3333333333334, + 502, + 593.6666666666667 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 109, + 593.6666666666667, + 502, + 618.0000000000001 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 104, + 627, + 505, + 650 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "Figure 1: Self-attention computes attention weights by comparing all pairs of elements to each other", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 638, + 433, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 433, + 651 + ], + "score": 1.0, + "content": "(a) while as dynamic convolutions predict separate kernels for each time-step (b).", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + } + ], + "index": 35.25 + }, + { + "type": "text", + "bbox": [ + 107, + 660, + 504, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 661, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 661, + 505, + 672 + ], + "score": 1.0, + "content": "However, the ability of self-attention to model long-range dependencies has recently come into", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 672, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 672, + 506, + 684 + ], + "score": 1.0, + "content": "question (Tang et al., 2018) and the unlimited context size is computationally very challenging due", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 683, + 506, + 696 + ], + "spans": [ + { + "bbox": [ + 105, + 683, + 506, + 696 + ], + "score": 1.0, + "content": "to the quadratic complexity in the input length. 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Different to self-attention, lightweight convolutions reuse the same weights", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 333, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 333, + 140 + ], + "score": 1.0, + "content": "for context elements, regardless of the current time-step.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "score": 1.0, + "content": "Dynamic convolutions build on lightweight convolutions by predicting a different convolution kernel", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "at every time-step. The kernel is a function of the current time-step only as opposed to the entire", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 164, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 179 + ], + "score": 1.0, + "content": "context as in self-attention (Figure 1b). 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Our approach also bears similarity to location-based attention which", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "does not access the context to determine attention weights, however, we do not directly take the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 219, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 104, + 219, + 505, + 234 + ], + "score": 1.0, + "content": "attention weights from the previous time-step into account (Chorowski et al., 2015; Luong et al.,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "2015). Shen et al. (2018b) reduce complexity by performing attention within blocks of the input", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 243, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 506, + 254 + ], + "score": 1.0, + "content": "sequence and Shen et al. (2017; 2018c) perform more fine-grained attention over each feature. Shen", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 253, + 474, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 474, + 266 + ], + "score": 1.0, + "content": "et al. (2018a) and Gong et al. 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Figure 2b shows the architecture of the module where we integrate LightConv. 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We then reshape and transpose the inputs to size", + "type": "text" + }, + { + "bbox": [ + 329, + 709, + 388, + 722 + ], + "score": 0.92, + "content": "\\begin{array} { r } { B H \\times n \\times \\frac { d } { H } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 704, + 508, + 727 + ], + "score": 1.0, + "content": ", and perform a batch matrix", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 720, + 496, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 496, + 733 + ], + "score": 1.0, + "content": "multiplication to get the outputs. We expect a dedicated CUDA kernel to be much more efficient.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 103, + 677, + 508, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 81, + 262, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 263, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 263, + 96 + ], + "score": 1.0, + "content": "4 DYNAMIC CONVOLUTIONS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 106, + 505, + 151 + ], + "lines": [ + { + "bbox": [ + 105, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "A dynamic convolution has kernels that vary over time as a learned function of the individual time", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "steps. A dynamic version of standard convolutions would be impractical for current GPUs due", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "to their large memory requirements. We address this problem by building on LightConv which", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 140, + 309, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 140, + 309, + 151 + ], + "score": 1.0, + "content": "drastically reduces the number of parameters (§3).", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 155, + 504, + 178 + ], + "lines": [ + { + "bbox": [ + 106, + 156, + 505, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 505, + 168 + ], + "score": 1.0, + "content": "DynamicConv takes the same form as LightConv but uses a time-step dependent kernel that is", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 165, + 288, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 288, + 180 + ], + "score": 1.0, + "content": "computed using a function f : Rd → RH×k:", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 183, + 416, + 197 + ], + "lines": [ + { + "bbox": [ + 195, + 183, + 416, + 197 + ], + "spans": [ + { + "bbox": [ + 195, + 183, + 416, + 197 + ], + "score": 0.85, + "content": "\\mathrm { D y n a m i c C o n v } ( X , i , c ) = \\mathrm { L i g h t C o n v } ( X , f ( X _ { i } ) _ { h , : } , i , c )", + "type": "interline_equation", + "image_path": "7705546c140d0c385860ce6b551f7e38f2b779e186a7940d567bdbf1a2f35cd9.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 195, + 183, + 416, + 197 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 203, + 502, + 230 + ], + "lines": [ + { + "bbox": [ + 104, + 199, + 505, + 218 + ], + "spans": [ + { + "bbox": [ + 104, + 199, + 150, + 218 + ], + "score": 1.0, + "content": "we model", + "type": "text" + }, + { + "bbox": [ + 150, + 204, + 158, + 215 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 199, + 369, + 218 + ], + "score": 1.0, + "content": "with a simple linear module with learned weights", + "type": "text" + }, + { + "bbox": [ + 369, + 202, + 441, + 214 + ], + "score": 0.91, + "content": "W ^ { Q } \\in \\mathbb { R } ^ { H \\times k \\times d }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 199, + 464, + 218 + ], + "score": 1.0, + "content": ", i.e.,", + "type": "text" + }, + { + "bbox": [ + 464, + 203, + 505, + 216 + ], + "score": 0.9, + "content": "f ( X _ { i } ) =", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 209, + 185, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 215, + 178, + 232 + ], + "score": 0.92, + "content": "\\textstyle \\sum _ { c = 1 } ^ { d } W _ { h , j , c } ^ { Q } X _ { i , c } .", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 209, + 185, + 236 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 107, + 235, + 505, + 291 + ], + "lines": [ + { + "bbox": [ + 106, + 236, + 504, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 504, + 248 + ], + "score": 1.0, + "content": "Similar to self-attention, DynamicConv changes the weights assigned to context elements over time.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 246, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 259 + ], + "score": 1.0, + "content": "However, the weights of DynamicConv do not depend on the entire context, they are a function of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 257, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 270 + ], + "score": 1.0, + "content": "the current time-step only. Self-attention requires a quadratic number of operations in the sentence", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 268, + 504, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 504, + 281 + ], + "score": 1.0, + "content": "length to compute attention weights, while the computation of dynamic kernels for DynamicConv", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 280, + 258, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 258, + 291 + ], + "score": 1.0, + "content": "scales linearly in the sequence length.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 296, + 505, + 329 + ], + "lines": [ + { + "bbox": [ + 106, + 295, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 506, + 309 + ], + "score": 1.0, + "content": "Our experiments (§6) show that models using DynamicConv match or exceed the performance of", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 307, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 505, + 320 + ], + "score": 1.0, + "content": "state-of-the-art models that use context-based self-attention. This challenges the typical intuitions", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 318, + 495, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 495, + 331 + ], + "score": 1.0, + "content": "about the importance of content-based self-attention in natural language processing applications.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16 + }, + { + "type": "title", + "bbox": [ + 108, + 345, + 243, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 345, + 244, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 244, + 360 + ], + "score": 1.0, + "content": "5 EXPERIMENTAL SETUP", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "title", + "bbox": [ + 107, + 370, + 235, + 382 + ], + "lines": [ + { + "bbox": [ + 106, + 370, + 236, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 236, + 382 + ], + "score": 1.0, + "content": "5.1 MODEL ARCHITECTURE", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 391, + 505, + 424 + ], + "lines": [ + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "score": 1.0, + "content": "We use an encoder-decoder architecture for sequence to sequence learning (Sutskever et al., 2014)", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "and we closely follow the architectural choices presented in Vaswani et al. (2017). Our self-attention", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 413, + 490, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 490, + 425 + ], + "score": 1.0, + "content": "baseline is the fairseq re-implementation of the Transformer Big architecture (Ott et al., 2018).2", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 429, + 505, + 485 + ], + "lines": [ + { + "bbox": [ + 106, + 429, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 273, + 442 + ], + "score": 1.0, + "content": "The encoder and decoder networks have", + "type": "text" + }, + { + "bbox": [ + 273, + 430, + 284, + 440 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 429, + 505, + 442 + ], + "score": 1.0, + "content": "blocks each. Encoder blocks contain two sub-blocks:", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 439, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 484, + 454 + ], + "score": 1.0, + "content": "The first is a self-attention module (§2), a LightConv module (3), or a DynamicConv module", + "type": "text" + }, + { + "bbox": [ + 484, + 441, + 501, + 453 + ], + "score": 0.58, + "content": "( \\ S 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 439, + 505, + 454 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 301, + 464 + ], + "score": 1.0, + "content": "The second sub-block is a feed-forward module:", + "type": "text" + }, + { + "bbox": [ + 301, + 451, + 414, + 464 + ], + "score": 0.92, + "content": "R e L U ( W ^ { 1 } X + b _ { 1 } ) W ^ { 2 } + b _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 450, + 442, + 464 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 442, + 451, + 501, + 462 + ], + "score": 0.9, + "content": "W ^ { 1 } \\in \\mathbb { R } ^ { d \\times \\breve { d } _ { f f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 450, + 506, + 464 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 107, + 459, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 107, + 462, + 167, + 473 + ], + "score": 0.93, + "content": "W ^ { 2 } \\in \\mathbb { R } ^ { d _ { f f } \\times d }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 459, + 186, + 478 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 186, + 463, + 226, + 473 + ], + "score": 0.8, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 459, + 231, + 478 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 231, + 463, + 282, + 475 + ], + "score": 0.84, + "content": "d _ { f f } = 4 0 9 6", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 459, + 506, + 478 + ], + "score": 1.0, + "content": "unless otherwise stated. Sub-blocks are surrounded by", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 474, + 424, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 424, + 486 + ], + "score": 1.0, + "content": "residual connections (He et al., 2015) and layer normalization (Ba et al., 2016).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 490, + 505, + 535 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 502 + ], + "score": 1.0, + "content": "Decoder blocks are identical except that they have an additional source-target attention sub-block", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 501, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 513 + ], + "score": 1.0, + "content": "between the self-attention and feed-forward module. The source-target attention is equivalent to the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "score": 1.0, + "content": "self-attention module, except that the values and keys are projections over the encoder output for", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 524, + 181, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 181, + 534 + ], + "score": 1.0, + "content": "each source word.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 107, + 540, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 319, + 552 + ], + "score": 1.0, + "content": "Words are fed to the encoder and decoder networks in", + "type": "text" + }, + { + "bbox": [ + 319, + 541, + 326, + 550 + ], + "score": 0.75, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 540, + 505, + 552 + ], + "score": 1.0, + "content": "dimensional embeddings. We add sinusoidal", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "score": 1.0, + "content": "position embeddings to encode the absolute position of each word in the sequence (Kaiser et al.,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 428, + 576 + ], + "score": 1.0, + "content": "2017; Vaswani et al., 2017). The model computes a distribution over vocabulary", + "type": "text" + }, + { + "bbox": [ + 428, + 563, + 438, + 573 + ], + "score": 0.7, + "content": "V", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 561, + 505, + 576 + ], + "score": 1.0, + "content": "by transforming", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 572, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 304, + 586 + ], + "score": 1.0, + "content": "the decoder output via a linear layer with weights", + "type": "text" + }, + { + "bbox": [ + 304, + 573, + 359, + 584 + ], + "score": 0.93, + "content": "W ^ { V } \\in \\mathbb { R } ^ { d \\times V }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 572, + 505, + 586 + ], + "score": 1.0, + "content": "followed by softmax normalization.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 106, + 590, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 106, + 591, + 504, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 504, + 602 + ], + "score": 1.0, + "content": "LightConv and DynamicConv are identical to Transformer Big, except that self-attention modules", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 600, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 104, + 600, + 506, + 615 + ], + "score": 1.0, + "content": "are swapped with either fixed or dynamic convolutions. These models also use fewer parameters per", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 612, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 447, + 625 + ], + "score": 1.0, + "content": "block (cf. Figure 2b and Figure 2c) and we therefore increase the number of blocks to", + "type": "text" + }, + { + "bbox": [ + 447, + 613, + 476, + 622 + ], + "score": 0.89, + "content": "N = 7", + "type": "inline_equation" + }, + { + "bbox": [ + 476, + 612, + 506, + 625 + ], + "score": 1.0, + "content": "for the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 623, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 444, + 635 + ], + "score": 1.0, + "content": "encoder to roughly match the parameter count of Transformer Big. 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A dynamic version of standard convolutions would be impractical for current GPUs due", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 505, + 141 + ], + "score": 1.0, + "content": "to their large memory requirements. 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This challenges the typical intuitions", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 318, + 495, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 495, + 331 + ], + "score": 1.0, + "content": "about the importance of content-based self-attention in natural language processing applications.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 295, + 506, + 331 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 345, + 243, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 345, + 244, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 244, + 360 + ], + "score": 1.0, + "content": "5 EXPERIMENTAL SETUP", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "title", + "bbox": [ + 107, + 370, + 235, + 382 + ], + "lines": [ + { + "bbox": [ + 106, + 370, + 236, + 382 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 236, + 382 + ], + "score": 1.0, + "content": "5.1 MODEL ARCHITECTURE", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 391, + 505, + 424 + ], + "lines": [ + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "score": 1.0, + "content": "We use an encoder-decoder architecture for sequence to sequence learning (Sutskever et al., 2014)", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "and we closely follow the architectural choices presented in Vaswani et al. 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Sub-blocks are surrounded by", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 474, + 424, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 424, + 486 + ], + "score": 1.0, + "content": "residual connections (He et al., 2015) and layer normalization (Ba et al., 2016).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 429, + 506, + 486 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 490, + 505, + 535 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 502 + ], + "score": 1.0, + "content": "Decoder blocks are identical except that they have an additional source-target attention sub-block", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 501, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 513 + ], + "score": 1.0, + "content": "between the self-attention and feed-forward module. The source-target attention is equivalent to the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "score": 1.0, + "content": "self-attention module, except that the values and keys are projections over the encoder output for", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 524, + 181, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 181, + 534 + ], + "score": 1.0, + "content": "each source word.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 491, + 506, + 534 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 540, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 319, + 552 + ], + "score": 1.0, + "content": "Words are fed to the encoder and decoder networks in", + "type": "text" + }, + { + "bbox": [ + 319, + 541, + 326, + 550 + ], + "score": 0.75, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 540, + 505, + 552 + ], + "score": 1.0, + "content": "dimensional embeddings. We add sinusoidal", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "score": 1.0, + "content": "position embeddings to encode the absolute position of each word in the sequence (Kaiser et al.,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 428, + 576 + ], + "score": 1.0, + "content": "2017; Vaswani et al., 2017). The model computes a distribution over vocabulary", + "type": "text" + }, + { + "bbox": [ + 428, + 563, + 438, + 573 + ], + "score": 0.7, + "content": "V", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 561, + 505, + 576 + ], + "score": 1.0, + "content": "by transforming", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 572, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 304, + 586 + ], + "score": 1.0, + "content": "the decoder output via a linear layer with weights", + "type": "text" + }, + { + "bbox": [ + 304, + 573, + 359, + 584 + ], + "score": 0.93, + "content": "W ^ { V } \\in \\mathbb { R } ^ { d \\times V }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 572, + 505, + 586 + ], + "score": 1.0, + "content": "followed by softmax normalization.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 540, + 505, + 586 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 590, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 106, + 591, + 504, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 504, + 602 + ], + "score": 1.0, + "content": "LightConv and DynamicConv are identical to Transformer Big, except that self-attention modules", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 600, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 104, + 600, + 506, + 615 + ], + "score": 1.0, + "content": "are swapped with either fixed or dynamic convolutions. These models also use fewer parameters per", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 612, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 447, + 625 + ], + "score": 1.0, + "content": "block (cf. Figure 2b and Figure 2c) and we therefore increase the number of blocks to", + "type": "text" + }, + { + "bbox": [ + 447, + 613, + 476, + 622 + ], + "score": 0.89, + "content": "N = 7", + "type": "inline_equation" + }, + { + "bbox": [ + 476, + 612, + 506, + 625 + ], + "score": 1.0, + "content": "for the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 623, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 444, + 635 + ], + "score": 1.0, + "content": "encoder to roughly match the parameter count of Transformer Big. We generally set", + "type": "text" + }, + { + "bbox": [ + 445, + 623, + 479, + 633 + ], + "score": 0.88, + "content": "H = 1 6", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 624, + 505, + 635 + ], + "score": 1.0, + "content": ". Both", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "LightConv and DynamicConv set the the encoder and decoder kernel sizes to 3, 7, 15, 31x4 for each", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 645, + 502, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 502, + 657 + ], + "score": 1.0, + "content": "block respectively; except for the decoder where we have only three top layers with kernel size 31.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5, + "bbox_fs": [ + 104, + 591, + 506, + 657 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 670, + 255, + 681 + ], + "lines": [ + { + "bbox": [ + 106, + 669, + 256, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 256, + 682 + ], + "score": 1.0, + "content": "5.2 DATASETS AND EVALUATION", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 108, + 690, + 504, + 713 + ], + "lines": [ + { + "bbox": [ + 105, + 689, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 704 + ], + "score": 1.0, + "content": "To get a thorough understanding of the limitations of LightConv and DynamicConv we evaluate on", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 107, + 702, + 479, + 713 + ], + "spans": [ + { + "bbox": [ + 107, + 702, + 479, + 713 + ], + "score": 1.0, + "content": "three different tasks: machine translation, language modeling and abstractive summarization.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 689, + 506, + 713 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 159 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "Machine Translation. We report results on four benchmarks: For WMT English to German (En-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 504, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 504, + 106 + ], + "score": 1.0, + "content": "De) we replicate the setup of Vaswani et al. (2017), based on WMT’16 training data with 4.5M sen-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "tence pairs, we validate on newstest2013 and test on newstest2014.3 The vocabulary is a 32K joint", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "source and target byte pair encoding (BPE; Sennrich et al. 2016). For WMT English to French (En-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "Fr), we borrow the setup of Gehring et al. (2017) with 36M training sentence pairs from WMT’14,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 187, + 150 + ], + "score": 1.0, + "content": "validate on newstes", + "type": "text" + }, + { + "bbox": [ + 187, + 137, + 235, + 148 + ], + "score": 0.75, + "content": "2 0 1 2 + 2 0 1 3", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "and test on newstest2014. The 40K vocabulary is based on a joint", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 253, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 253, + 161 + ], + "score": 1.0, + "content": "source and target BPE factorization.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 165, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "score": 1.0, + "content": "For WMT English to Chinese (Zh-En), we pre-process the WMT’17 training data following Hassan", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 188 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 188 + ], + "score": 1.0, + "content": "et al. (2018) resulting in 20M sentence pairs. We develop on devtest2017 and test on newstest2017.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "For IWSLT’14 German-English (De-En) we replicate the setup of Edunov et al. (2018) for 160K", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "training sentence pairs and 10K joint BPE vocabulary. For this benchmark only, data is lowercased.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 107, + 214, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "score": 1.0, + "content": "For WMT En-De, WMT En-Fr, we measure case-sensitive tokenized BLEU.4 For WMT En-De", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "score": 1.0, + "content": "only we apply compound splitting similar to Vaswani et al. (2017). For WMT Zh-En we measure", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 354, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 354, + 249 + ], + "score": 1.0, + "content": "detokenized BLEU to be comparable to Hassan et al. (2018).5", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 254, + 505, + 320 + ], + "lines": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "We train three random initializations of a each configuration and report test accuracy of the seed", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "score": 1.0, + "content": "which resulted in the highest validation BLEU. Ablations are conducted on the validation set and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "score": 1.0, + "content": "we report the mean BLEU and standard deviation on this set. WMT En-De, WMT En-Fr are based", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 285, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 300 + ], + "score": 1.0, + "content": "on beam search with a beam width of 5, IWSLT uses beam 4, and WMT Zh-En beam 8 following", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 297, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 505, + 310 + ], + "score": 1.0, + "content": "Hassan et al. (2018). For all datasets, we tune a length penalty as well as the number of checkpoints", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 309, + 235, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 309, + 235, + 321 + ], + "score": 1.0, + "content": "to average on the validation set.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 325, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 337 + ], + "score": 1.0, + "content": "Language Modeling. We evaluate on the large-scale Billion word dataset (Chelba et al., 2013)", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "which contains 768M tokens and has a vocabulary of nearly 800K types. Sentences in this dataset", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 348, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 506, + 360 + ], + "score": 1.0, + "content": "are shuffled and we batch sentences independently of each other. Models are evaluated in terms of", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 359, + 269, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 269, + 371 + ], + "score": 1.0, + "content": "perplexity on the valid and test portions.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 106, + 375, + 505, + 452 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 504, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 504, + 388 + ], + "score": 1.0, + "content": "Summarization. We test the model’s ability to process long documents on the CNN-DailyMail", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "summarization task (Hermann et al., 2015; Nallapati et al., 2016) comprising over 280K news arti-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 398, + 504, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 504, + 409 + ], + "score": 1.0, + "content": "cles paired with multi-sentence summaries. Articles are truncated to 400 tokens (See et al., 2017)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 407, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 407, + 506, + 422 + ], + "score": 1.0, + "content": "and we use a BPE vocabulary of 30K types (Fan et al., 2017). We evaluate in terms of F1-Rouge,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "that is Rouge-1, Rouge-2 and Rouge-L (Lin, 2004).6 When generating summaries, we follow stan-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 429, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 506, + 444 + ], + "score": 1.0, + "content": "dard practice in tuning the maximum output length, disallowing repeating the same trigram, and we", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 442, + 452, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 452, + 453 + ], + "score": 1.0, + "content": "apply a stepwise length penalty (Paulus et al., 2017; Fan et al., 2017; Wu et al., 2016).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 108, + 466, + 286, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 287, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 287, + 478 + ], + "score": 1.0, + "content": "5.3 TRAINING AND HYPERPARAMETERS", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 486, + 505, + 574 + ], + "lines": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "Translation. We use a dropout rate of 0.3 for WMT En-De and IWSLT De-En, 0.1 for WMT En-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "Fr, and 0.25 for WMT Zh-En. WMT models are optimized with Adam and a cosine learning rate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "schedule (Kingma & Ba, 2015; Loshchilov & Hutter, 2016) where the learning rate is first linearly", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 230, + 532 + ], + "score": 1.0, + "content": "warmed up for 10K steps from", + "type": "text" + }, + { + "bbox": [ + 230, + 519, + 252, + 529 + ], + "score": 0.9, + "content": "1 0 ^ { - 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 519, + 263, + 532 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 263, + 519, + 285, + 529 + ], + "score": 0.91, + "content": "1 0 ^ { - 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "and then annealed following a cosine rate with a single", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "score": 1.0, + "content": "cycle. For IWSLT’14 De-En, we use a schedule based on the inverse square root of the current step", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "score": 1.0, + "content": "(Vaswani et al., 2017). We train the WMT models on 8 NVIDIA V100 GPUs for a total of 30K steps", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "score": 1.0, + "content": "on WMT En-De, 40K steps for WMT Zh-En and 80K steps for WMT En-Fr. For IWSLT De-En we", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 254, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 254, + 575 + ], + "score": 1.0, + "content": "train for 50K steps on a single GPU.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 580, + 505, + 636 + ], + "lines": [ + { + "bbox": [ + 106, + 579, + 506, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 506, + 593 + ], + "score": 1.0, + "content": "We use floating point 16 precision and accumulate the gradients for 16 batches before applying an", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 591, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 505, + 604 + ], + "score": 1.0, + "content": "update (Ott et al., 2018), except for IWSLT where we do not accumulate gradients. Batches contain", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 601, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 104, + 601, + 506, + 614 + ], + "score": 1.0, + "content": "up to 459K source tokens and the same number of target tokens for both WMT En-De and WMT", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "Zh-En, 655K for En-Fr, and 4K for IWSLT De-En. 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We report results on four benchmarks: For WMT English to German (En-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 504, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 504, + 106 + ], + "score": 1.0, + "content": "De) we replicate the setup of Vaswani et al. (2017), based on WMT’16 training data with 4.5M sen-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "tence pairs, we validate on newstest2013 and test on newstest2014.3 The vocabulary is a 32K joint", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "source and target byte pair encoding (BPE; Sennrich et al. 2016). For WMT English to French (En-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 139 + ], + "score": 1.0, + "content": "Fr), we borrow the setup of Gehring et al. (2017) with 36M training sentence pairs from WMT’14,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 505, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 187, + 150 + ], + "score": 1.0, + "content": "validate on newstes", + "type": "text" + }, + { + "bbox": [ + 187, + 137, + 235, + 148 + ], + "score": 0.75, + "content": "2 0 1 2 + 2 0 1 3", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 137, + 505, + 150 + ], + "score": 1.0, + "content": "and test on newstest2014. The 40K vocabulary is based on a joint", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 253, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 253, + 161 + ], + "score": 1.0, + "content": "source and target BPE factorization.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 82, + 505, + 161 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 165, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "score": 1.0, + "content": "For WMT English to Chinese (Zh-En), we pre-process the WMT’17 training data following Hassan", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 188 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 188 + ], + "score": 1.0, + "content": "et al. (2018) resulting in 20M sentence pairs. We develop on devtest2017 and test on newstest2017.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "For IWSLT’14 German-English (De-En) we replicate the setup of Edunov et al. (2018) for 160K", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "training sentence pairs and 10K joint BPE vocabulary. For this benchmark only, data is lowercased.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 164, + 506, + 210 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 214, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "score": 1.0, + "content": "For WMT En-De, WMT En-Fr, we measure case-sensitive tokenized BLEU.4 For WMT En-De", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 505, + 238 + ], + "score": 1.0, + "content": "only we apply compound splitting similar to Vaswani et al. (2017). For WMT Zh-En we measure", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 354, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 354, + 249 + ], + "score": 1.0, + "content": "detokenized BLEU to be comparable to Hassan et al. (2018).5", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 215, + 505, + 249 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 254, + 505, + 320 + ], + "lines": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "We train three random initializations of a each configuration and report test accuracy of the seed", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "score": 1.0, + "content": "which resulted in the highest validation BLEU. Ablations are conducted on the validation set and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "score": 1.0, + "content": "we report the mean BLEU and standard deviation on this set. WMT En-De, WMT En-Fr are based", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 285, + 506, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 300 + ], + "score": 1.0, + "content": "on beam search with a beam width of 5, IWSLT uses beam 4, and WMT Zh-En beam 8 following", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 297, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 505, + 310 + ], + "score": 1.0, + "content": "Hassan et al. (2018). For all datasets, we tune a length penalty as well as the number of checkpoints", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 309, + 235, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 309, + 235, + 321 + ], + "score": 1.0, + "content": "to average on the validation set.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 253, + 506, + 321 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 325, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 337 + ], + "score": 1.0, + "content": "Language Modeling. We evaluate on the large-scale Billion word dataset (Chelba et al., 2013)", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "which contains 768M tokens and has a vocabulary of nearly 800K types. Sentences in this dataset", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 348, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 506, + 360 + ], + "score": 1.0, + "content": "are shuffled and we batch sentences independently of each other. Models are evaluated in terms of", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 359, + 269, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 269, + 371 + ], + "score": 1.0, + "content": "perplexity on the valid and test portions.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 325, + 506, + 371 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 375, + 505, + 452 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 504, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 504, + 388 + ], + "score": 1.0, + "content": "Summarization. We test the model’s ability to process long documents on the CNN-DailyMail", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "summarization task (Hermann et al., 2015; Nallapati et al., 2016) comprising over 280K news arti-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 398, + 504, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 504, + 409 + ], + "score": 1.0, + "content": "cles paired with multi-sentence summaries. Articles are truncated to 400 tokens (See et al., 2017)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 407, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 407, + 506, + 422 + ], + "score": 1.0, + "content": "and we use a BPE vocabulary of 30K types (Fan et al., 2017). We evaluate in terms of F1-Rouge,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "that is Rouge-1, Rouge-2 and Rouge-L (Lin, 2004).6 When generating summaries, we follow stan-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 429, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 506, + 444 + ], + "score": 1.0, + "content": "dard practice in tuning the maximum output length, disallowing repeating the same trigram, and we", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 442, + 452, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 452, + 453 + ], + "score": 1.0, + "content": "apply a stepwise length penalty (Paulus et al., 2017; Fan et al., 2017; Wu et al., 2016).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 376, + 506, + 453 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 466, + 286, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 287, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 287, + 478 + ], + "score": 1.0, + "content": "5.3 TRAINING AND HYPERPARAMETERS", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 486, + 505, + 574 + ], + "lines": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "Translation. We use a dropout rate of 0.3 for WMT En-De and IWSLT De-En, 0.1 for WMT En-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "Fr, and 0.25 for WMT Zh-En. WMT models are optimized with Adam and a cosine learning rate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "schedule (Kingma & Ba, 2015; Loshchilov & Hutter, 2016) where the learning rate is first linearly", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 230, + 532 + ], + "score": 1.0, + "content": "warmed up for 10K steps from", + "type": "text" + }, + { + "bbox": [ + 230, + 519, + 252, + 529 + ], + "score": 0.9, + "content": "1 0 ^ { - 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 519, + 263, + 532 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 263, + 519, + 285, + 529 + ], + "score": 0.91, + "content": "1 0 ^ { - 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "and then annealed following a cosine rate with a single", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "score": 1.0, + "content": "cycle. For IWSLT’14 De-En, we use a schedule based on the inverse square root of the current step", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "score": 1.0, + "content": "(Vaswani et al., 2017). We train the WMT models on 8 NVIDIA V100 GPUs for a total of 30K steps", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "score": 1.0, + "content": "on WMT En-De, 40K steps for WMT Zh-En and 80K steps for WMT En-Fr. 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Batches contain", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 601, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 104, + 601, + 506, + 614 + ], + "score": 1.0, + "content": "up to 459K source tokens and the same number of target tokens for both WMT En-De and WMT", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "Zh-En, 655K for En-Fr, and 4K for IWSLT De-En. We use label smoothing with 0.1 weight for the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 623, + 466, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 466, + 637 + ], + "score": 1.0, + "content": "uniform prior distribution over the vocabulary (Szegedy et al., 2015; Pereyra et al., 2017).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42, + "bbox_fs": [ + 104, + 579, + 506, + 637 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 641, + 505, + 675 + ], + "lines": [ + { + "bbox": [ + 106, + 641, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 641, + 505, + 653 + ], + "score": 1.0, + "content": "Language Modeling. 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The first 60K types in the adaptive softmax have", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 378, + 452, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 452, + 390 + ], + "score": 1.0, + "content": "dimension 1024, the 100K types dimension 256, and the last 633K types have size 64.", + "type": "text", + "cross_page": true + } + ], + "index": 10 + } + ], + "index": 46, + "bbox_fs": [ + 105, + 641, + 505, + 675 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 156, + 79, + 455, + 196 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 156, + 79, + 455, + 196 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 156, + 79, + 455, + 196 + ], + "spans": [ + { + "bbox": [ + 156, + 79, + 455, + 196 + ], + "score": 0.982, + "html": "
ModelParam (En-De)WMT En-DeWMTEn-Fr
Gehring et al. (2017)216M25.240.5
Vaswani et al. (2017)213M28.441.0
Ahmed et al. (2017)213M28.941.4
Chen et al. (2018)379M28.541.0
Shaw et al. (2018)=29.241.5
Ott et al. (2018)210M29.343.2
LightConv202M28.943.1
DynamicConv213M29.743.2
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ModelParam (Zh-En)IWSLTWMT Zh-En
Deng et al. (2018) Hassan et al. (2018)=33.11
1 292M124.2
Self-attention baseline285M34.4 34.823.8
LightConv24.3
DynamicConv296M35.224.4
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The first 60K types in the adaptive softmax have", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 378, + 452, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 452, + 390 + ], + "score": 1.0, + "content": "dimension 1024, the 100K types dimension 256, and the last 633K types have size 64.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 450 + ], + "lines": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "We train on 32 GPUs with batches of 65K tokens for 975K updates. As optimizer we use Nesterov’s", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 406, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 418 + ], + "score": 1.0, + "content": "accelerated gradient method (Sutskever et al., 2013) with a momentum value of 0.99 and we re-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "score": 1.0, + "content": "normalize gradients if their norm exceeds 0.1 (Pascanu et al., 2013). The learning rate is linearly", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 426, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 177, + 442 + ], + "score": 1.0, + "content": "warmed up from", + "type": "text" + }, + { + "bbox": [ + 177, + 428, + 199, + 438 + ], + "score": 0.89, + "content": "1 0 ^ { - 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 426, + 506, + 442 + ], + "score": 1.0, + "content": "to 1 for 16K steps and then annealed using a cosine learning rate schedule", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 439, + 286, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 286, + 451 + ], + "score": 1.0, + "content": "(Loshchilov & Hutter, 2016) with one cycle.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 504, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 455, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 506, + 468 + ], + "score": 1.0, + "content": "Summarization. We train with Adam using the cosine learning rate schedule with a warmup of", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 467, + 441, + 479 + ], + "spans": [ + { + "bbox": [ + 107, + 467, + 441, + 479 + ], + "score": 1.0, + "content": "10K steps and a period of 20K updates. 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This shows that content-based", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 636, + 462, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 462, + 650 + ], + "score": 1.0, + "content": "self-attention is not necessary to achieve good accuracy on large translation benchmarks.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 654, + 505, + 709 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 452, + 667 + ], + "score": 1.0, + "content": "IWSLT is a much smaller benchmark and we therefore switch to a smaller architecture:", + "type": "text" + }, + { + "bbox": [ + 452, + 654, + 501, + 667 + ], + "score": 0.91, + "content": "d _ { f f } = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 654, + 505, + 667 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 665, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 143, + 676 + ], + "score": 0.89, + "content": "d = 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 665, + 165, + 677 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 165, + 666, + 196, + 675 + ], + "score": 0.9, + "content": "H = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 665, + 505, + 677 + ], + "score": 1.0, + "content": ". 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LightConv outperforms the baseline by 0.5 BLEU and DynamicConv by 0.6 BLEU.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 117, + 721, + 450, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 719, + 450, + 734 + ], + "spans": [ + { + "bbox": [ + 118, + 719, + 450, + 734 + ], + "score": 1.0, + "content": "7We omit comparison to Elbayad et al. (2018) since their test set is not directly comparable.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 156, + 79, + 455, + 196 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 156, + 79, + 455, + 196 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 156, + 79, + 455, + 196 + ], + "spans": [ + { + "bbox": [ + 156, + 79, + 455, + 196 + ], + "score": 0.982, + "html": "
ModelParam (En-De)WMT En-DeWMTEn-Fr
Gehring et al. (2017)216M25.240.5
Vaswani et al. (2017)213M28.441.0
Ahmed et al. (2017)213M28.941.4
Chen et al. (2018)379M28.541.0
Shaw et al. (2018)=29.241.5
Ott et al. (2018)210M29.343.2
LightConv202M28.943.1
DynamicConv213M29.743.2
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ModelParam (Zh-En)IWSLTWMT Zh-En
Deng et al. (2018) Hassan et al. (2018)=33.11
1 292M124.2
Self-attention baseline285M34.4 34.823.8
LightConv24.3
DynamicConv296M35.224.4
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As optimizer we use Nesterov’s", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 406, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 418 + ], + "score": 1.0, + "content": "accelerated gradient method (Sutskever et al., 2013) with a momentum value of 0.99 and we re-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "score": 1.0, + "content": "normalize gradients if their norm exceeds 0.1 (Pascanu et al., 2013). The learning rate is linearly", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 426, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 177, + 442 + ], + "score": 1.0, + "content": "warmed up from", + "type": "text" + }, + { + "bbox": [ + 177, + 428, + 199, + 438 + ], + "score": 0.89, + "content": "1 0 ^ { - 7 }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 426, + 506, + 442 + ], + "score": 1.0, + "content": "to 1 for 16K steps and then annealed using a cosine learning rate schedule", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 439, + 286, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 286, + 451 + ], + "score": 1.0, + "content": "(Loshchilov & Hutter, 2016) with one cycle.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 395, + 506, + 451 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 504, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 455, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 506, + 468 + ], + "score": 1.0, + "content": "Summarization. We train with Adam using the cosine learning rate schedule with a warmup of", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 467, + 441, + 479 + ], + "spans": [ + { + "bbox": [ + 107, + 467, + 441, + 479 + ], + "score": 1.0, + "content": "10K steps and a period of 20K updates. We use weight decay 1e-3 and dropout 0.3.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 106, + 455, + 506, + 479 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 496, + 172, + 509 + ], + "lines": [ + { + "bbox": [ + 105, + 494, + 174, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 174, + 511 + ], + "score": 1.0, + "content": "6 RESULTS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "title", + "bbox": [ + 108, + 522, + 238, + 533 + ], + "lines": [ + { + "bbox": [ + 105, + 521, + 239, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 239, + 535 + ], + "score": 1.0, + "content": "6.1 MACHINE TRANSLATION", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 106, + 543, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 505, + 555 + ], + "score": 1.0, + "content": "We first report results on WMT En-De and WMT En-Fr where we compare to the best results in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "the literature, most of which are based on self-attention. Table 1 shows that LightConv performs", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 578 + ], + "score": 1.0, + "content": "very competitively and only trails the state of the art result by 0.1 BLEU on WMT En-Fr; the state", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "score": 1.0, + "content": "of the art is based on self-attention (Ott et al., 2018). This is despite the simplicity of LightConv", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 588, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 505, + 600 + ], + "score": 1.0, + "content": "which operates with a very small number of fixed weights over all time steps whereas self-attention", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 598, + 379, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 379, + 613 + ], + "score": 1.0, + "content": "computes dot-products with all context elements at every time-step.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 543, + 505, + 613 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 615, + 502, + 649 + ], + "lines": [ + { + "bbox": [ + 106, + 615, + 504, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 504, + 628 + ], + "score": 1.0, + "content": "DynamicConv outperforms the best known result on WMT En-De by 0.4 BLEU and achieves a new", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 626, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 638 + ], + "score": 1.0, + "content": "state of the art, whereas on WMT En-Fr it matches the state of the art. This shows that content-based", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 636, + 462, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 462, + 650 + ], + "score": 1.0, + "content": "self-attention is not necessary to achieve good accuracy on large translation benchmarks.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 615, + 505, + 650 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 654, + 505, + 709 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 452, + 667 + ], + "score": 1.0, + "content": "IWSLT is a much smaller benchmark and we therefore switch to a smaller architecture:", + "type": "text" + }, + { + "bbox": [ + 452, + 654, + 501, + 667 + ], + "score": 0.91, + "content": "d _ { f f } = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 654, + 505, + 667 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 665, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 143, + 676 + ], + "score": 0.89, + "content": "d = 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 665, + 165, + 677 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 165, + 666, + 196, + 675 + ], + "score": 0.9, + "content": "H = 4", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 665, + 505, + 677 + ], + "score": 1.0, + "content": ". The self-attention baseline on this dataset is the best reported result in the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 674, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 104, + 674, + 506, + 690 + ], + "score": 1.0, + "content": "literature (Table 2).7 LightConv outperforms this baseline by 0.4 BLEU and DynamicConv improves", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "score": 1.0, + "content": "by 0.8 BLEU. We further run experiments on WMT Zh-En translation to evaluate on a non-European", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 698, + 486, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 486, + 711 + ], + "score": 1.0, + "content": "language. LightConv outperforms the baseline by 0.5 BLEU and DynamicConv by 0.6 BLEU.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31, + "bbox_fs": [ + 104, + 654, + 506, + 711 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 113, + 80, + 498, + 257 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 113, + 80, + 498, + 257 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 80, + 498, + 257 + ], + "spans": [ + { + "bbox": [ + 113, + 80, + 498, + 257 + ], + "score": 0.98, + "html": "
ModelParamBLEUSent/sec
Vaswani et al. (2017)213M26.4=
Self-attention baseline (k=inf,H=16)210M26.9 ± 0.152.1 ± 0.1
Self-attention baseline (k=3,7,15,31x3, H=16)210M26.9 ± 0.354.9 ± 0.2
CNN (k=3)208M25.9 ± 0.268.1 ± 0.3
CNN Depthwise (k=3,H=1024)195M26.1 ± 0.267.1 ± 1.0
+ Increasing kernel (k=3,7,15,31x4,H=1024)195M26.4± 0.263.3 ± 0.1
+ DropConnect (H=1024)195M26.5 ± 0.263.3 ± 0.1
+ Weight sharing (H=16)195M26.5 ± 0.163.7 ± 0.4
+ Softmax-normalized weights [LightConv] (H=16)195M26.6 ± 0.263.6 ± 0.1
+ Dynamic weights [DynamicConv] (H=16)200M26.9 ± 0.262.6 ± 0.4
Note: DynamicConv(H=16) w/o softmax-normalization200Mdiverges
AAN decoder + self-attn encoder260M26.8 ± 0.159.5 ± 0.1
AAN decoder+ AAN encoder310M22.5 ± 0.159.2 ± 2.1
", + "type": "table", + "image_path": "a2a2744ad9f83a0aba7443dec1f2d6953fde9e7dff0af5e369c965dabd8f9070.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 113, + 80, + 498, + 139.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 113, + 139.0, + 498, + 198.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 113, + 198.0, + 498, + 257.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 107, + 264, + 504, + 288 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 352, + 276 + ], + "score": 1.0, + "content": "Table 3: Ablation on WMT English-German newstest2013.", + "type": "text" + }, + { + "bbox": [ + 352, + 266, + 365, + 276 + ], + "score": 0.7, + "content": "( + )", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 264, + 506, + 276 + ], + "score": 1.0, + "content": "indicates that a result includes all", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 276, + 501, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 501, + 288 + ], + "score": 1.0, + "content": "preceding features. Speed results based on beam size 4, batch size 256 on an NVIDIA P100 GPU.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "title", + "bbox": [ + 107, + 321, + 210, + 332 + ], + "lines": [ + { + "bbox": [ + 106, + 320, + 212, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 212, + 333 + ], + "score": 1.0, + "content": "6.2 MODEL ABLATION", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 347, + 505, + 424 + ], + "lines": [ + { + "bbox": [ + 105, + 346, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 361 + ], + "score": 1.0, + "content": "In this section we evaluate the impact of the various choices we made for LightConv (§3) and Dy-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "namicConv (§4). We first show that limiting the maximum context size of self-attention has no", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "impact on validation accuracy (Table 3). Note that our baseline is stronger than the original result", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "score": 1.0, + "content": "of Vaswani et al. (2017). Next, we replace self-attention blocks with non-separable convolutions", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 324, + 403 + ], + "score": 1.0, + "content": "(CNN) with kernel size 3 and input/output dimension", + "type": "text" + }, + { + "bbox": [ + 324, + 391, + 364, + 402 + ], + "score": 0.89, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 392, + 505, + 403 + ], + "score": 1.0, + "content": ". The CNN block has no input and", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "output projections compared to the baseline and we add one more encoder layer to assimilate the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 414, + 434, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 434, + 425 + ], + "score": 1.0, + "content": "parameter count. This CNN with a narrow kernel trails self-attention by 1 BLEU.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 430, + 505, + 551 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "score": 1.0, + "content": "We improve this result by switching to a depthwise separable convolution (CNN Depthwise) with in-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 241, + 454 + ], + "score": 1.0, + "content": "put and output projections of size", + "type": "text" + }, + { + "bbox": [ + 241, + 441, + 281, + 451 + ], + "score": 0.91, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 441, + 506, + 454 + ], + "score": 1.0, + "content": ". When we progressively increase the kernel width from", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "score": 1.0, + "content": "lower to higher layers then this further improves accuracy. This narrows the gap to self-attention", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 462, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 477 + ], + "score": 1.0, + "content": "to only 0.5 BLEU. DropConnect gives a slight performance improvement and weight sharing does", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "score": 1.0, + "content": "not decrease performance. Adding softmax normalization to the weights is only 0.3 BLEU below", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "the accuracy of the baseline. This corresponds to LightConv. In Appendix A we compare softmax-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "normalization to various alternatives. Finally, dynamic convolutions (DynamicConv) achieve the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 507, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 430, + 520 + ], + "score": 1.0, + "content": "same validation accuracy as self-attention with slightly fewer parameters and at", + "type": "text" + }, + { + "bbox": [ + 431, + 507, + 451, + 518 + ], + "score": 0.86, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 507, + 505, + 520 + ], + "score": 1.0, + "content": "higher infer-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "score": 1.0, + "content": "ence speed. Softmax-normalization is important for DynamicConv since training diverged in our", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 529, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 541 + ], + "score": 1.0, + "content": "experiments when removing it. To make the models more comparable, we do not introduce GLU", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 541, + 210, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 210, + 552 + ], + "score": 1.0, + "content": "after the input projection.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 556, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 569 + ], + "score": 1.0, + "content": "For comparison, we re-implemented averaged attention networks (AAN; Zhang et al. 2018) which", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "compute a uniform average over past model states instead of a weighted average as in self-attention.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 579, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 505, + 591 + ], + "score": 1.0, + "content": "Our re-implementation is efficient: we measure 129 sentences/sec for a base transformer-AAN on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "score": 1.0, + "content": "newstest2014 compared to 20 sentences/sec for Zhang et al. (2018). Table 3 shows that our models", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "outperform this approach. Note that AANs still use self-attention in the encoder network while as", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 612, + 412, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 412, + 623 + ], + "score": 1.0, + "content": "our approach does away with self-attention both in the encoder and decoder.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5 + }, + { + "type": "title", + "bbox": [ + 108, + 650, + 231, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 650, + 232, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 232, + 663 + ], + "score": 1.0, + "content": "6.3 LANGUAGE MODELING", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "As second task we consider language modeling on the Billion word benchmark. The self-attention", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 686, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 159, + 701 + ], + "score": 1.0, + "content": "baseline has", + "type": "text" + }, + { + "bbox": [ + 159, + 688, + 195, + 698 + ], + "score": 0.9, + "content": "N = 1 6", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 686, + 506, + 701 + ], + "score": 1.0, + "content": "blocks, each with a self-attention module and a feed-forward module using", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 107, + 699, + 158, + 711 + ], + "score": 0.9, + "content": "d _ { f f } = 4 0 9 6", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 698, + 176, + 712 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 177, + 699, + 217, + 709 + ], + "score": 0.88, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 698, + 303, + 712 + ], + "score": 1.0, + "content": ". DynamicConv uses", + "type": "text" + }, + { + "bbox": [ + 304, + 699, + 339, + 709 + ], + "score": 0.88, + "content": "N = 1 7", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "blocks to assimilate the parameter count", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "score": 1.0, + "content": "and we use kernel sizes 15x2, 31x4 and 63x11. Table 4 shows that DynamicConv achieves slightly", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 720, + 408, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 408, + 734 + ], + "score": 1.0, + "content": "better perplexity than our self-attention baseline which is very competitive.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 303, + 751, + 309, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 113, + 80, + 498, + 257 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 113, + 80, + 498, + 257 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 80, + 498, + 257 + ], + "spans": [ + { + "bbox": [ + 113, + 80, + 498, + 257 + ], + "score": 0.98, + "html": "
ModelParamBLEUSent/sec
Vaswani et al. (2017)213M26.4=
Self-attention baseline (k=inf,H=16)210M26.9 ± 0.152.1 ± 0.1
Self-attention baseline (k=3,7,15,31x3, H=16)210M26.9 ± 0.354.9 ± 0.2
CNN (k=3)208M25.9 ± 0.268.1 ± 0.3
CNN Depthwise (k=3,H=1024)195M26.1 ± 0.267.1 ± 1.0
+ Increasing kernel (k=3,7,15,31x4,H=1024)195M26.4± 0.263.3 ± 0.1
+ DropConnect (H=1024)195M26.5 ± 0.263.3 ± 0.1
+ Weight sharing (H=16)195M26.5 ± 0.163.7 ± 0.4
+ Softmax-normalized weights [LightConv] (H=16)195M26.6 ± 0.263.6 ± 0.1
+ Dynamic weights [DynamicConv] (H=16)200M26.9 ± 0.262.6 ± 0.4
Note: DynamicConv(H=16) w/o softmax-normalization200Mdiverges
AAN decoder + self-attn encoder260M26.8 ± 0.159.5 ± 0.1
AAN decoder+ AAN encoder310M22.5 ± 0.159.2 ± 2.1
", + "type": "table", + "image_path": "a2a2744ad9f83a0aba7443dec1f2d6953fde9e7dff0af5e369c965dabd8f9070.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 113, + 80, + 498, + 139.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 113, + 139.0, + 498, + 198.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 113, + 198.0, + 498, + 257.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 107, + 264, + 504, + 288 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 264, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 352, + 276 + ], + "score": 1.0, + "content": "Table 3: Ablation on WMT English-German newstest2013.", + "type": "text" + }, + { + "bbox": [ + 352, + 266, + 365, + 276 + ], + "score": 0.7, + "content": "( + )", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 264, + 506, + 276 + ], + "score": 1.0, + "content": "indicates that a result includes all", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 276, + 501, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 501, + 288 + ], + "score": 1.0, + "content": "preceding features. Speed results based on beam size 4, batch size 256 on an NVIDIA P100 GPU.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "title", + "bbox": [ + 107, + 321, + 210, + 332 + ], + "lines": [ + { + "bbox": [ + 106, + 320, + 212, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 212, + 333 + ], + "score": 1.0, + "content": "6.2 MODEL ABLATION", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 347, + 505, + 424 + ], + "lines": [ + { + "bbox": [ + 105, + 346, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 361 + ], + "score": 1.0, + "content": "In this section we evaluate the impact of the various choices we made for LightConv (§3) and Dy-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "namicConv (§4). We first show that limiting the maximum context size of self-attention has no", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 505, + 381 + ], + "score": 1.0, + "content": "impact on validation accuracy (Table 3). Note that our baseline is stronger than the original result", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 505, + 392 + ], + "score": 1.0, + "content": "of Vaswani et al. (2017). Next, we replace self-attention blocks with non-separable convolutions", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 391, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 324, + 403 + ], + "score": 1.0, + "content": "(CNN) with kernel size 3 and input/output dimension", + "type": "text" + }, + { + "bbox": [ + 324, + 391, + 364, + 402 + ], + "score": 0.89, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 392, + 505, + 403 + ], + "score": 1.0, + "content": ". The CNN block has no input and", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "output projections compared to the baseline and we add one more encoder layer to assimilate the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 414, + 434, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 434, + 425 + ], + "score": 1.0, + "content": "parameter count. This CNN with a narrow kernel trails self-attention by 1 BLEU.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 346, + 505, + 425 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 430, + 505, + 551 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "score": 1.0, + "content": "We improve this result by switching to a depthwise separable convolution (CNN Depthwise) with in-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 241, + 454 + ], + "score": 1.0, + "content": "put and output projections of size", + "type": "text" + }, + { + "bbox": [ + 241, + 441, + 281, + 451 + ], + "score": 0.91, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 441, + 506, + 454 + ], + "score": 1.0, + "content": ". When we progressively increase the kernel width from", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "score": 1.0, + "content": "lower to higher layers then this further improves accuracy. This narrows the gap to self-attention", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 462, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 477 + ], + "score": 1.0, + "content": "to only 0.5 BLEU. DropConnect gives a slight performance improvement and weight sharing does", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 104, + 473, + 505, + 488 + ], + "score": 1.0, + "content": "not decrease performance. Adding softmax normalization to the weights is only 0.3 BLEU below", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "the accuracy of the baseline. This corresponds to LightConv. In Appendix A we compare softmax-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "normalization to various alternatives. Finally, dynamic convolutions (DynamicConv) achieve the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 507, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 430, + 520 + ], + "score": 1.0, + "content": "same validation accuracy as self-attention with slightly fewer parameters and at", + "type": "text" + }, + { + "bbox": [ + 431, + 507, + 451, + 518 + ], + "score": 0.86, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 507, + 505, + 520 + ], + "score": 1.0, + "content": "higher infer-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "score": 1.0, + "content": "ence speed. Softmax-normalization is important for DynamicConv since training diverged in our", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 529, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 541 + ], + "score": 1.0, + "content": "experiments when removing it. To make the models more comparable, we do not introduce GLU", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 541, + 210, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 210, + 552 + ], + "score": 1.0, + "content": "after the input projection.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18, + "bbox_fs": [ + 104, + 430, + 506, + 552 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 556, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 569 + ], + "score": 1.0, + "content": "For comparison, we re-implemented averaged attention networks (AAN; Zhang et al. 2018) which", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "compute a uniform average over past model states instead of a weighted average as in self-attention.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 579, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 505, + 591 + ], + "score": 1.0, + "content": "Our re-implementation is efficient: we measure 129 sentences/sec for a base transformer-AAN on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "score": 1.0, + "content": "newstest2014 compared to 20 sentences/sec for Zhang et al. (2018). Table 3 shows that our models", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "outperform this approach. Note that AANs still use self-attention in the encoder network while as", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 612, + 412, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 412, + 623 + ], + "score": 1.0, + "content": "our approach does away with self-attention both in the encoder and decoder.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 556, + 505, + 623 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 650, + 231, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 650, + 232, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 232, + 663 + ], + "score": 1.0, + "content": "6.3 LANGUAGE MODELING", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "As second task we consider language modeling on the Billion word benchmark. The self-attention", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 686, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 159, + 701 + ], + "score": 1.0, + "content": "baseline has", + "type": "text" + }, + { + "bbox": [ + 159, + 688, + 195, + 698 + ], + "score": 0.9, + "content": "N = 1 6", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 686, + 506, + 701 + ], + "score": 1.0, + "content": "blocks, each with a self-attention module and a feed-forward module using", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 107, + 699, + 158, + 711 + ], + "score": 0.9, + "content": "d _ { f f } = 4 0 9 6", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 698, + 176, + 712 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 177, + 699, + 217, + 709 + ], + "score": 0.88, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 698, + 303, + 712 + ], + "score": 1.0, + "content": ". DynamicConv uses", + "type": "text" + }, + { + "bbox": [ + 304, + 699, + 339, + 709 + ], + "score": 0.88, + "content": "N = 1 7", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "blocks to assimilate the parameter count", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "score": 1.0, + "content": "and we use kernel sizes 15x2, 31x4 and 63x11. Table 4 shows that DynamicConv achieves slightly", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 720, + 408, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 408, + 734 + ], + "score": 1.0, + "content": "better perplexity than our self-attention baseline which is very competitive.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 677, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 138, + 80, + 473, + 165 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 138, + 80, + 473, + 165 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 138, + 80, + 473, + 165 + ], + "spans": [ + { + "bbox": [ + 138, + 80, + 473, + 165 + ], + "score": 0.981, + "html": "
ModelParamValidTest
2-layer LSTM-8192-1024 (J6zefowicz et al., 2016)1130.6
Gated Convolutional Model (Dauphin et al., 2017)428M31.9
Mixture of Experts (Shazeer et al., 2017)4371M +128.0
Self-attention baseline331M26.6726.73
DynamicConv339M26.6026.67
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ModelParamRouge-1Rouge-2Rouge-l
LSTM (Paulus et al., 2017)=38.3014.8135.49
CNN (Fan et al., 2017)139.0615.3835.77
Self-attention baseline90M39.2615.9836.35
LightConv86M39.5215.9736.51
DynamicConv87M39.8416.2536.73
RL (Celikyilmaz et al., 2018)141.6919.4737.92
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We compare to likelihood trained approaches", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 326, + 253, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 253, + 339 + ], + "score": 1.0, + "content": "except for Celikyilmaz et al. (2018).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + } + ], + "index": 7.25 + }, + { + "type": "title", + "bbox": [ + 108, + 360, + 270, + 371 + ], + "lines": [ + { + "bbox": [ + 106, + 360, + 272, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 272, + 372 + ], + "score": 1.0, + "content": "6.4 ABSTRACTIVE SUMMARIZATION", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 381, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 106, + 381, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 505, + 393 + ], + "score": 1.0, + "content": "Finally, we evaluate on the CNN-DailyMail abstractive document summarization benchmark where", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 392, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 404 + ], + "score": 1.0, + "content": "we encode a document of up to 400 words and generate multi-sentence summaries. This tests the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 403, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 461, + 416 + ], + "score": 1.0, + "content": "ability of our model to deal with longer sequences. We reduce model capacity by setting", + "type": "text" + }, + { + "bbox": [ + 462, + 403, + 501, + 414 + ], + "score": 0.87, + "content": "d = 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 403, + 506, + 416 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 414, + 443, + 427 + ], + "spans": [ + { + "bbox": [ + 107, + 414, + 156, + 427 + ], + "score": 0.83, + "content": "d _ { f f } = 2 0 4 8", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 414, + 159, + 426 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 160, + 414, + 188, + 425 + ], + "score": 0.76, + "content": "H = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 414, + 443, + 426 + ], + "score": 1.0, + "content": ", similar to the Transformer base setup of Vaswani et al. (2017).", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 431, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "score": 1.0, + "content": "Table 5 shows that LightConv outperforms the self-attention baseline as well as comparable previous", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 441, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 456 + ], + "score": 1.0, + "content": "work and DynamicConv performs even better. We also show results for a reinforcement learning", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 452, + 488, + 466 + ], + "spans": [ + { + "bbox": [ + 104, + 452, + 488, + 466 + ], + "score": 1.0, + "content": "approach (Celikyilmaz et al., 2018) and note that RL is equally applicable to our architecture.8", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16 + }, + { + "type": "title", + "bbox": [ + 108, + 482, + 195, + 494 + ], + "lines": [ + { + "bbox": [ + 104, + 479, + 198, + 498 + ], + "spans": [ + { + "bbox": [ + 104, + 479, + 198, + 498 + ], + "score": 1.0, + "content": "7 CONCLUSION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 507, + 505, + 551 + ], + "lines": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 505, + 519 + ], + "score": 1.0, + "content": "We presented lightweight convolutions which perform competitively to the best reported results in", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 531 + ], + "score": 1.0, + "content": "the literature despite their simplicity. 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MethodBLEU
W (No normalization)diverges
softmax(W)26.9 ± 0.2
σ(W)26.6 ± 0.3
tanh(W)25.6 ± 0.2
Wdiverges
IIW|1+e W26.8 ± 0.2
1W||2+∈ power(W, 2)
diverges
abs(W) abs(W)diverges
IW|l1+∈diverges
abs(W) IW|l2+∈26.7 ± 0.2
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MethodBLEU
W (No normalization)diverges
softmax(W)26.9 ± 0.2
σ(W)26.6 ± 0.3
tanh(W)25.6 ± 0.2
Wdiverges
IIW|1+e W26.8 ± 0.2
1W||2+∈ power(W, 2)
diverges
abs(W) abs(W)diverges
IW|l1+∈diverges
abs(W) IW|l2+∈26.7 ± 0.2
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Model (batch size = 1, beam size = 1)ParamBLEUSent/secTok/sec
NAT (+ FT) (Gu et al., 2018)17.725.6=
NAT (+ FT + NPD=10) (Gu et al., 2018)18.712.7=
NAT (+ FT + NPD=10O) (Gu et al., 2018)19.23.9
LT, Improved Semhash (Kaiser et al.,2018)19.89.51
IRidec 二 :1 (Lee et al., 2018)13.91511.4
IR idec 二 :2 (Lee et al., 2018)17.0=393.6
IR idec 二 : 5 (Lee et al., 2018)20.3=139.7
IR idec 二 :10 (Lee et al., 2018)21.690.4
IR Adaptive ( (Lee et al., 2018)21.51107.2
NART w/hints (Li et al., 2019)21.138.5
NART w/ hints (B = 4, 9 candidates) (Li et al., 2019)25.222.7=
ENAT Embedding l gMapping (Guo et al.,2019) ENAT Embedding Mapping (rescoring 9 candidates)20.741.7
(Guo et al., 2019)24.320.4
Autoregressive (Gu et al., 2018)22.72.5
Autoregressive (Lee et al., 2018)23.81= 54.0
Transformer (Li et al., 2019)27.31.3
Transformer (Guo et al., 2019)-27.41.61 1
DynamicConv (1-decoder layer (k=31))124M26.115.2
DynamicConv (3-decoder layers (k=3,7,15))153M27.77.2423.0 202.3
DynamicConv (6-decoder layers (k=3,7,15,31,31,31))200M28.53.9110.9
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Model (batch size = 1, beam size = 1)ParamBLEUSent/secTok/sec
NAT (+ FT) (Gu et al., 2018)17.725.6=
NAT (+ FT + NPD=10) (Gu et al., 2018)18.712.7=
NAT (+ FT + NPD=10O) (Gu et al., 2018)19.23.9
LT, Improved Semhash (Kaiser et al.,2018)19.89.51
IRidec 二 :1 (Lee et al., 2018)13.91511.4
IR idec 二 :2 (Lee et al., 2018)17.0=393.6
IR idec 二 : 5 (Lee et al., 2018)20.3=139.7
IR idec 二 :10 (Lee et al., 2018)21.690.4
IR Adaptive ( (Lee et al., 2018)21.51107.2
NART w/hints (Li et al., 2019)21.138.5
NART w/ hints (B = 4, 9 candidates) (Li et al., 2019)25.222.7=
ENAT Embedding l gMapping (Guo et al.,2019) ENAT Embedding Mapping (rescoring 9 candidates)20.741.7
(Guo et al., 2019)24.320.4
Autoregressive (Gu et al., 2018)22.72.5
Autoregressive (Lee et al., 2018)23.81= 54.0
Transformer (Li et al., 2019)27.31.3
Transformer (Guo et al., 2019)-27.41.61 1
DynamicConv (1-decoder layer (k=31))124M26.115.2
DynamicConv (3-decoder layers (k=3,7,15))153M27.77.2423.0 202.3
DynamicConv (6-decoder layers (k=3,7,15,31,31,31))200M28.53.9110.9
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We demonstrate a very universal Frequency Principle (F-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 233, + 470, + 246 + ], + "spans": [ + { + "bbox": [ + 141, + 233, + 470, + 246 + ], + "score": 1.0, + "content": "Principle) — DNNs often fit target functions from low to high frequencies — on", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 245, + 470, + 257 + ], + "spans": [ + { + "bbox": [ + 141, + 245, + 470, + 257 + ], + "score": 1.0, + "content": "high-dimensional benchmark datasets such as MNIST/CIFAR10 and deep neural", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 256, + 470, + 268 + ], + "spans": [ + { + "bbox": [ + 141, + 256, + 470, + 268 + ], + "score": 1.0, + "content": "networks such as VGG16. 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We find a common behavior of the gradient-based training process of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 423, + 312, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 312, + 437 + ], + "score": 1.0, + "content": "DNNs, that is, a Frequency Principle (F-Principle):", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20 + }, + { + "type": "title", + "bbox": [ + 120, + 445, + 471, + 457 + ], + "lines": [ + { + "bbox": [ + 119, + 443, + 475, + 460 + ], + "spans": [ + { + "bbox": [ + 119, + 443, + 475, + 460 + ], + "score": 1.0, + "content": "DNNs often fit target functions from low to high frequencies during the training process.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 467, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 106, + 468, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 468, + 505, + 479 + ], + "score": 1.0, + "content": "In another word, at the early stage of training, the low-frequencies are fitted and as iteration steps", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 479, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 506, + 491 + ], + "score": 1.0, + "content": "of training increase, the high-frequencies are fitted. For example, when a DNN is trained to fit", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 488, + 507, + 504 + ], + "spans": [ + { + "bbox": [ + 107, + 489, + 198, + 501 + ], + "score": 0.93, + "content": "y = \\sin ( \\bar { x } ) + \\sin ( 2 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 488, + 319, + 504 + ], + "score": 1.0, + "content": ", its output would be close to", + "type": "text" + }, + { + "bbox": [ + 319, + 489, + 346, + 501 + ], + "score": 0.87, + "content": "\\sin ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 488, + 507, + 504 + ], + "score": 1.0, + "content": "at early stage and as training goes on,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 223, + 513 + ], + "score": 1.0, + "content": "its output would be close to", + "type": "text" + }, + { + "bbox": [ + 223, + 500, + 293, + 512 + ], + "score": 0.92, + "content": "\\sin ( x ) + \\sin ( 2 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 500, + 506, + 513 + ], + "score": 1.0, + "content": ". F-Principle was observed empirically in synthetic", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 348, + 524 + ], + "score": 1.0, + "content": "low-dimensional data with MSE loss during DNN training (", + "type": "text" + }, + { + "bbox": [ + 348, + 512, + 362, + 522 + ], + "score": 0.31, + "content": "\\mathrm { { X u } }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "et al., 2018; Rahaman et al., 2018).", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "However, in deep learning, empirical phenomena could vary from one network structure to another,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 534, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 506, + 545 + ], + "score": 1.0, + "content": "from one dataset to another and could exhibit significant difference between synthetic data and high-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 544, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 505, + 556 + ], + "score": 1.0, + "content": "dimensional real data. Therefore, the universality of the F-Principle remains an important problem", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 554, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 568 + ], + "score": 1.0, + "content": "for further study. Especially for high-dimensional real problems, because the computational cost of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "score": 1.0, + "content": "high-dimensional Fourier transform is prohibitive in practice, it is of great challenge to demonstrate", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "score": 1.0, + "content": "the F-Principle. 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The settings we have considered are i) different", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "DNN architectures, e.g., fully-connected network, convolutional neural network (CNN), and VGG16", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "(Simonyan & Zisserman, 2014); ii) different activation functions, e.g., tanh and rectified linear unit", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 670, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 685 + ], + "score": 1.0, + "content": "(ReLU); iii) different loss functions, e.g., cross entropy, mean squared error (MSE), and loss energy", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 681, + 491, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 491, + 694 + ], + "score": 1.0, + "content": "functional in variational problems. These results demonstrate the universality of the F-Principle.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "To facilitate the designs and applications of DNN-based schemes, we characterize a stark difference", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "between DNNs and conventional numerical schemes on various scientific computing problems, where", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "most of the conventional methods (e.g., Jacobi method) exhibit the opposite convergence behavior", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 308, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 308, + 761 + ], + "score": 1.0, + "content": "1", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 78, + 503, + 116 + ], + "lines": [ + { + "bbox": [ + 106, + 79, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 505, + 97 + ], + "score": 1.0, + "content": "FREQUENCY PRINCIPLE: FOURIER ANALYSIS SHEDS", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 97, + 385, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 97, + 385, + 118 + ], + "score": 1.0, + "content": "LIGHT ON DEEP NEURAL NETWORKS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 113, + 135, + 245, + 157 + ], + "lines": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "spans": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 111, + 146, + 245, + 158 + ], + "spans": [ + { + "bbox": [ + 111, + 146, + 245, + 158 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 111, + 136, + 245, + 158 + ] + }, + { + "type": "title", + "bbox": [ + 278, + 186, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 277, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 277, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 211, + 469, + 354 + ], + "lines": [ + { + "bbox": [ + 142, + 212, + 469, + 225 + ], + "spans": [ + { + "bbox": [ + 142, + 212, + 469, + 225 + ], + "score": 1.0, + "content": "We study the training process of Deep Neural Networks (DNNs) from the Fourier", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 223, + 470, + 236 + ], + "spans": [ + { + "bbox": [ + 141, + 223, + 470, + 236 + ], + "score": 1.0, + "content": "analysis perspective. We demonstrate a very universal Frequency Principle (F-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 233, + 470, + 246 + ], + "spans": [ + { + "bbox": [ + 141, + 233, + 470, + 246 + ], + "score": 1.0, + "content": "Principle) — DNNs often fit target functions from low to high frequencies — on", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 245, + 470, + 257 + ], + "spans": [ + { + "bbox": [ + 141, + 245, + 470, + 257 + ], + "score": 1.0, + "content": "high-dimensional benchmark datasets such as MNIST/CIFAR10 and deep neural", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 256, + 470, + 268 + ], + "spans": [ + { + "bbox": [ + 141, + 256, + 470, + 268 + ], + "score": 1.0, + "content": "networks such as VGG16. This F-Principle of DNNs is opposite to the behavior", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 267, + 469, + 278 + ], + "spans": [ + { + "bbox": [ + 141, + 267, + 469, + 278 + ], + "score": 1.0, + "content": "of most conventional iterative numerical schemes (e.g., Jacobi method), which", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 277, + 469, + 290 + ], + "spans": [ + { + "bbox": [ + 141, + 277, + 469, + 290 + ], + "score": 1.0, + "content": "exhibit faster convergence for higher frequencies for various scientific computing", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 289, + 470, + 301 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 470, + 301 + ], + "score": 1.0, + "content": "problems. With theories under an idealized setting, we illustrate that this F-Principle", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "score": 1.0, + "content": "results from the smoothness/regularity of the commonly used activation functions.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 310, + 470, + 323 + ], + "spans": [ + { + "bbox": [ + 141, + 310, + 470, + 323 + ], + "score": 1.0, + "content": "The F-Principle implies an implicit bias that DNNs tend to fit training data by", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 322, + 469, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 469, + 334 + ], + "score": 1.0, + "content": "a low-frequency function. This understanding provides an explanation of good", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 140, + 332, + 470, + 345 + ], + "spans": [ + { + "bbox": [ + 140, + 332, + 470, + 345 + ], + "score": 1.0, + "content": "generalization of DNNs on most real datasets and bad generalization of DNNs on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 344, + 303, + 354 + ], + "spans": [ + { + "bbox": [ + 141, + 344, + 303, + 354 + ], + "score": 1.0, + "content": "parity function or a randomized dataset.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 11, + "bbox_fs": [ + 140, + 212, + 470, + 354 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 376, + 206, + 389 + ], + "lines": [ + { + "bbox": [ + 105, + 375, + 208, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 208, + 392 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 108, + 401, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "Understanding the training process of Deep Neural Networks (DNNs) is a fundamental problem", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "in the area of deep learning. We find a common behavior of the gradient-based training process of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 423, + 312, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 312, + 437 + ], + "score": 1.0, + "content": "DNNs, that is, a Frequency Principle (F-Principle):", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20, + "bbox_fs": [ + 106, + 402, + 505, + 437 + ] + }, + { + "type": "title", + "bbox": [ + 120, + 445, + 471, + 457 + ], + "lines": [ + { + "bbox": [ + 119, + 443, + 475, + 460 + ], + "spans": [ + { + "bbox": [ + 119, + 443, + 475, + 460 + ], + "score": 1.0, + "content": "DNNs often fit target functions from low to high frequencies during the training process.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 467, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 106, + 468, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 468, + 505, + 479 + ], + "score": 1.0, + "content": "In another word, at the early stage of training, the low-frequencies are fitted and as iteration steps", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 479, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 506, + 491 + ], + "score": 1.0, + "content": "of training increase, the high-frequencies are fitted. For example, when a DNN is trained to fit", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 107, + 488, + 507, + 504 + ], + "spans": [ + { + "bbox": [ + 107, + 489, + 198, + 501 + ], + "score": 0.93, + "content": "y = \\sin ( \\bar { x } ) + \\sin ( 2 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 488, + 319, + 504 + ], + "score": 1.0, + "content": ", its output would be close to", + "type": "text" + }, + { + "bbox": [ + 319, + 489, + 346, + 501 + ], + "score": 0.87, + "content": "\\sin ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 488, + 507, + 504 + ], + "score": 1.0, + "content": "at early stage and as training goes on,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 223, + 513 + ], + "score": 1.0, + "content": "its output would be close to", + "type": "text" + }, + { + "bbox": [ + 223, + 500, + 293, + 512 + ], + "score": 0.92, + "content": "\\sin ( x ) + \\sin ( 2 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 500, + 506, + 513 + ], + "score": 1.0, + "content": ". F-Principle was observed empirically in synthetic", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 348, + 524 + ], + "score": 1.0, + "content": "low-dimensional data with MSE loss during DNN training (", + "type": "text" + }, + { + "bbox": [ + 348, + 512, + 362, + 522 + ], + "score": 0.31, + "content": "\\mathrm { { X u } }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "et al., 2018; Rahaman et al., 2018).", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 506, + 535 + ], + "score": 1.0, + "content": "However, in deep learning, empirical phenomena could vary from one network structure to another,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 534, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 506, + 545 + ], + "score": 1.0, + "content": "from one dataset to another and could exhibit significant difference between synthetic data and high-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 544, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 505, + 556 + ], + "score": 1.0, + "content": "dimensional real data. Therefore, the universality of the F-Principle remains an important problem", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 554, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 506, + 568 + ], + "score": 1.0, + "content": "for further study. Especially for high-dimensional real problems, because the computational cost of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "score": 1.0, + "content": "high-dimensional Fourier transform is prohibitive in practice, it is of great challenge to demonstrate", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "score": 1.0, + "content": "the F-Principle. On the other hand, the mechanism underlying the F-Principle and its implication", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 587, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 506, + 602 + ], + "score": 1.0, + "content": "to the application of DNNs, e.g., design of DNN-based PDE solver, as well as their generalization", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 599, + 336, + 612 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 336, + 612 + ], + "score": 1.0, + "content": "ability are also important open problems to be addressed.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 468, + 507, + 612 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 616, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 615, + 507, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 507, + 629 + ], + "score": 1.0, + "content": "In this work, we design two methods, i.e., projection and filtering methods, to show that the F-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 626, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 506, + 640 + ], + "score": 1.0, + "content": "Principle exists in the training process of DNNs for high-dimensional benchmarks, i.e., MNIST", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "(LeCun, 1998), CIFAR10 (Krizhevsky et al., 2010). The settings we have considered are i) different", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "DNN architectures, e.g., fully-connected network, convolutional neural network (CNN), and VGG16", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "(Simonyan & Zisserman, 2014); ii) different activation functions, e.g., tanh and rectified linear unit", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 670, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 505, + 685 + ], + "score": 1.0, + "content": "(ReLU); iii) different loss functions, e.g., cross entropy, mean squared error (MSE), and loss energy", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 681, + 491, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 491, + 694 + ], + "score": 1.0, + "content": "functional in variational problems. These results demonstrate the universality of the F-Principle.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 615, + 507, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "To facilitate the designs and applications of DNN-based schemes, we characterize a stark difference", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "between DNNs and conventional numerical schemes on various scientific computing problems, where", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "most of the conventional methods (e.g., Jacobi method) exhibit the opposite convergence behavior", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "— faster convergence for higher frequencies. This difference implies that DNN can be adopted to", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 407, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 407, + 106 + ], + "score": 1.0, + "content": "accelerate the convergence of low frequencies for computational problems.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 44, + "bbox_fs": [ + 105, + 698, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "— faster convergence for higher frequencies. This difference implies that DNN can be adopted to", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 407, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 407, + 106 + ], + "score": 1.0, + "content": "accelerate the convergence of low frequencies for computational problems.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 109, + 505, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 505, + 124 + ], + "score": 1.0, + "content": "We also intuitively explain with theories under an idealized setting how the smoothness/regularity", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "score": 1.0, + "content": "of commonly used activation functions contributes to the F-Principle. Note that this mechanism", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "is rigorously demonstrated for DNNs of general settings in a subsequent work (Luo et al., 2019).", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "Finally, we discuss that the F-Principle provides an understanding of good generalization of DNNs", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "in many real datasets (Zhang et al., 2016) and poor generalization in learning the parity function", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "(Shalev-Shwartz et al., 2017; Nye & Saxe, 2018), that is, the F-Principle which implies that DNNs", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "prefer low frequencies, is consistent with the property of low frequencies dominance in many real", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "datasets, e.g., MNIST/CIFAR10, but is different from the parity function whose spectrum concentrates", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 199, + 477, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 477, + 210 + ], + "score": 1.0, + "content": "on high frequencies. Compared with previous studies, our main contributions are as follows:", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 214, + 503, + 237 + ], + "lines": [ + { + "bbox": [ + 106, + 215, + 504, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 215, + 504, + 227 + ], + "score": 1.0, + "content": "1. By designing both the projection and filtering methods, we consistently demonstrate the F-Principle", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 225, + 474, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 474, + 239 + ], + "score": 1.0, + "content": "for MNIST/CIFAR10 over various architectures such as VGG16 and various loss functions.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 243, + 505, + 276 + ], + "lines": [ + { + "bbox": [ + 105, + 243, + 506, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 506, + 256 + ], + "score": 1.0, + "content": "2. For the application of solving differential equations, we show that (i) conventional numerical", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 254, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 506, + 266 + ], + "score": 1.0, + "content": "schemes learn higher frequencies faster whereas DNNs learn lower frequencies faster by the F-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "score": 1.0, + "content": "Principle, (ii) convergence of low frequencies can be greatly accelerated with DNN-based schemes.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 281, + 504, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "score": 1.0, + "content": "3. We present theories under an idealized setting to illustrate how smoothness/regularity of activation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 292, + 263, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 263, + 305 + ], + "score": 1.0, + "content": "function contributes to the F-Principle.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 309, + 504, + 343 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "score": 1.0, + "content": "4. We discuss in detail the implication of the F-Principle to the generalization of DNNs that DNNs", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "are implicitly biased towards a low frequency function and provide an explanation of good and poor", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 331, + 474, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 474, + 345 + ], + "score": 1.0, + "content": "generalization of DNNs for low and high frequency dominant target functions, respectively.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + }, + { + "type": "title", + "bbox": [ + 108, + 359, + 248, + 372 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 250, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 250, + 375 + ], + "score": 1.0, + "content": "2 FREQUENCY PRINCIPLE", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 108, + 384, + 506, + 407 + ], + "lines": [ + { + "bbox": [ + 106, + 383, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 398 + ], + "score": 1.0, + "content": "The concept of “frequency” is central to the understanding of F-Principle. In this paper, the “frequency”", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 394, + 469, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 469, + 410 + ], + "score": 1.0, + "content": "means response frequency NOT image (or input) frequency as explained in the following.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 411, + 504, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 446, + 425 + ], + "score": 1.0, + "content": "Image (or input) frequency (NOT used in the paper): Frequency of 2-d function", + "type": "text" + }, + { + "bbox": [ + 447, + 411, + 504, + 423 + ], + "score": 0.9, + "content": "I : \\mathbb { R } ^ { 2 } \\mathbb { R }", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "score": 1.0, + "content": "representing the intensity of an image over pixels at different locations. This frequency corresponds", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "to the rate of change of intensity across neighbouring pixels. For example, an image of constant", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "intensity possesses only the zero frequency, i.e., the lowest frequency, while a sharp edge contributes", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 455, + 240, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 240, + 470 + ], + "score": 1.0, + "content": "to high frequencies of the image.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 473, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 453, + 486 + ], + "score": 1.0, + "content": "Response frequency (used in the paper): Frequency of a general Input-Output mapping", + "type": "text" + }, + { + "bbox": [ + 453, + 474, + 460, + 484 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 472, + 506, + 486 + ], + "score": 1.0, + "content": ". For exam-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "ple, consider a simplified classification problem of partial MNIST data using only the data with label 0", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 493, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 133, + 509 + ], + "score": 1.0, + "content": "and 1,", + "type": "text" + }, + { + "bbox": [ + 133, + 495, + 282, + 507 + ], + "score": 0.91, + "content": "f ( x _ { 1 } , x _ { 2 } , \\dot { \\cdots } , x _ { 7 8 4 } ) : \\mathbb { R } ^ { 7 8 4 } \\to \\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 493, + 506, + 509 + ], + "score": 1.0, + "content": "mapping 784-d space of pixel values to 1-d space, where", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 506, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 118, + 520 + ], + "score": 0.84, + "content": "x _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 507, + 205, + 522 + ], + "score": 1.0, + "content": "is the intensity of the", + "type": "text" + }, + { + "bbox": [ + 205, + 509, + 211, + 520 + ], + "score": 0.81, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 507, + 423, + 522 + ], + "score": 1.0, + "content": "-th pixel. 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If", + "type": "text" + }, + { + "bbox": [ + 272, + 531, + 279, + 542 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 529, + 465, + 543 + ], + "score": 1.0, + "content": "possesses significant high frequencies for large", + "type": "text" + }, + { + "bbox": [ + 465, + 531, + 475, + 542 + ], + "score": 0.87, + "content": "k _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 529, + 506, + 543 + ], + "score": 1.0, + "content": ", then a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 171, + 554 + ], + "score": 1.0, + "content": "small change of", + "type": "text" + }, + { + "bbox": [ + 171, + 542, + 182, + 553 + ], + "score": 0.86, + "content": "x _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "in the image might induce a large change of the output (e.g., adversarial example).", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 551, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 565 + ], + "score": 1.0, + "content": "For a dataset with multiple classes, we can similarly define frequency for each output dimension. For", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "real data, the response frequency is rigorously defined via the standard nonuniform discrete Fourier", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 574, + 261, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 261, + 586 + ], + "score": 1.0, + "content": "transform (NUDFT), see Appendix A.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 107, + 591, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 105, + 590, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 605 + ], + "score": 1.0, + "content": "Frequency Principle: DNNs often fit target functions from low to high (response) frequencies during", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 602, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 615 + ], + "score": 1.0, + "content": "the training process. An illustration of F-Principle using a function of 1-d input is in Appendix B. The", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 612, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 104, + 612, + 505, + 625 + ], + "score": 1.0, + "content": "F-Principle is rigorously defined through the frequency defined by the Fourier transform (Appendix", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 622, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 622, + 506, + 637 + ], + "score": 1.0, + "content": "A, Bracewell & Bracewell (1986)) and the converging speed defined by the relative error. By using", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "high-dimensional real datasets, we then experimentally demonstrate F-Principle at the levels of both", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 646, + 480, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 480, + 658 + ], + "score": 1.0, + "content": "individual frequencies (projection method) and coarse-grained frequencies (filtering method).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41.5 + }, + { + "type": "title", + "bbox": [ + 106, + 673, + 472, + 686 + ], + "lines": [ + { + "bbox": [ + 104, + 672, + 474, + 688 + ], + "spans": [ + { + "bbox": [ + 104, + 672, + 474, + 688 + ], + "score": 1.0, + "content": "3 F-PRINCIPLE IN MNIST/CIFAR10 THROUGH PROJECTION METHOD", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "Real datasets are very different from synthetic data used in previous studies. In order to utilize the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "F-Principle to understand and better use DNNs in real datasets, it is important to verify whether the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 720, + 333, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 333, + 732 + ], + "score": 1.0, + "content": "F-Principle also holds in high-dimensional real datasets.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 504, + 105 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 106, + 82, + 505, + 106 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 110, + 505, + 209 + ], + "lines": [ + { + "bbox": [ + 105, + 109, + 505, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 505, + 124 + ], + "score": 1.0, + "content": "We also intuitively explain with theories under an idealized setting how the smoothness/regularity", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 133 + ], + "score": 1.0, + "content": "of commonly used activation functions contributes to the F-Principle. Note that this mechanism", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "is rigorously demonstrated for DNNs of general settings in a subsequent work (Luo et al., 2019).", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 506, + 156 + ], + "score": 1.0, + "content": "Finally, we discuss that the F-Principle provides an understanding of good generalization of DNNs", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "in many real datasets (Zhang et al., 2016) and poor generalization in learning the parity function", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "(Shalev-Shwartz et al., 2017; Nye & Saxe, 2018), that is, the F-Principle which implies that DNNs", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "prefer low frequencies, is consistent with the property of low frequencies dominance in many real", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "datasets, e.g., MNIST/CIFAR10, but is different from the parity function whose spectrum concentrates", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 199, + 477, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 477, + 210 + ], + "score": 1.0, + "content": "on high frequencies. Compared with previous studies, our main contributions are as follows:", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 109, + 506, + 210 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 214, + 503, + 237 + ], + "lines": [ + { + "bbox": [ + 106, + 215, + 504, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 215, + 504, + 227 + ], + "score": 1.0, + "content": "1. By designing both the projection and filtering methods, we consistently demonstrate the F-Principle", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 225, + 474, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 474, + 239 + ], + "score": 1.0, + "content": "for MNIST/CIFAR10 over various architectures such as VGG16 and various loss functions.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 215, + 504, + 239 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 243, + 505, + 276 + ], + "lines": [ + { + "bbox": [ + 105, + 243, + 506, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 506, + 256 + ], + "score": 1.0, + "content": "2. For the application of solving differential equations, we show that (i) conventional numerical", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 254, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 506, + 266 + ], + "score": 1.0, + "content": "schemes learn higher frequencies faster whereas DNNs learn lower frequencies faster by the F-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 265, + 505, + 277 + ], + "score": 1.0, + "content": "Principle, (ii) convergence of low frequencies can be greatly accelerated with DNN-based schemes.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 243, + 506, + 277 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 281, + 504, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 295 + ], + "score": 1.0, + "content": "3. We present theories under an idealized setting to illustrate how smoothness/regularity of activation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 292, + 263, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 263, + 305 + ], + "score": 1.0, + "content": "function contributes to the F-Principle.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 281, + 505, + 305 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 309, + 504, + 343 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "score": 1.0, + "content": "4. We discuss in detail the implication of the F-Principle to the generalization of DNNs that DNNs", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "are implicitly biased towards a low frequency function and provide an explanation of good and poor", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 331, + 474, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 474, + 345 + ], + "score": 1.0, + "content": "generalization of DNNs for low and high frequency dominant target functions, respectively.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 309, + 506, + 345 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 359, + 248, + 372 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 250, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 250, + 375 + ], + "score": 1.0, + "content": "2 FREQUENCY PRINCIPLE", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 108, + 384, + 506, + 407 + ], + "lines": [ + { + "bbox": [ + 106, + 383, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 398 + ], + "score": 1.0, + "content": "The concept of “frequency” is central to the understanding of F-Principle. In this paper, the “frequency”", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 394, + 469, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 469, + 410 + ], + "score": 1.0, + "content": "means response frequency NOT image (or input) frequency as explained in the following.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 383, + 506, + 410 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 411, + 504, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 446, + 425 + ], + "score": 1.0, + "content": "Image (or input) frequency (NOT used in the paper): Frequency of 2-d function", + "type": "text" + }, + { + "bbox": [ + 447, + 411, + 504, + 423 + ], + "score": 0.9, + "content": "I : \\mathbb { R } ^ { 2 } \\mathbb { R }", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "score": 1.0, + "content": "representing the intensity of an image over pixels at different locations. This frequency corresponds", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "to the rate of change of intensity across neighbouring pixels. For example, an image of constant", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 459 + ], + "score": 1.0, + "content": "intensity possesses only the zero frequency, i.e., the lowest frequency, while a sharp edge contributes", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 455, + 240, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 240, + 470 + ], + "score": 1.0, + "content": "to high frequencies of the image.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 411, + 505, + 470 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 473, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 453, + 486 + ], + "score": 1.0, + "content": "Response frequency (used in the paper): Frequency of a general Input-Output mapping", + "type": "text" + }, + { + "bbox": [ + 453, + 474, + 460, + 484 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 472, + 506, + 486 + ], + "score": 1.0, + "content": ". For exam-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "ple, consider a simplified classification problem of partial MNIST data using only the data with label 0", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 493, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 133, + 509 + ], + "score": 1.0, + "content": "and 1,", + "type": "text" + }, + { + "bbox": [ + 133, + 495, + 282, + 507 + ], + "score": 0.91, + "content": "f ( x _ { 1 } , x _ { 2 } , \\dot { \\cdots } , x _ { 7 8 4 } ) : \\mathbb { R } ^ { 7 8 4 } \\to \\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 493, + 506, + 509 + ], + "score": 1.0, + "content": "mapping 784-d space of pixel values to 1-d space, where", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 506, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 118, + 520 + ], + "score": 0.84, + "content": "x _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 507, + 205, + 522 + ], + "score": 1.0, + "content": "is the intensity of the", + "type": "text" + }, + { + "bbox": [ + 205, + 509, + 211, + 520 + ], + "score": 0.81, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 507, + 423, + 522 + ], + "score": 1.0, + "content": "-th pixel. 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If", + "type": "text" + }, + { + "bbox": [ + 272, + 531, + 279, + 542 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 529, + 465, + 543 + ], + "score": 1.0, + "content": "possesses significant high frequencies for large", + "type": "text" + }, + { + "bbox": [ + 465, + 531, + 475, + 542 + ], + "score": 0.87, + "content": "k _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 529, + 506, + 543 + ], + "score": 1.0, + "content": ", then a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 171, + 554 + ], + "score": 1.0, + "content": "small change of", + "type": "text" + }, + { + "bbox": [ + 171, + 542, + 182, + 553 + ], + "score": 0.86, + "content": "x _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "in the image might induce a large change of the output (e.g., adversarial example).", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 551, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 565 + ], + "score": 1.0, + "content": "For a dataset with multiple classes, we can similarly define frequency for each output dimension. For", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "real data, the response frequency is rigorously defined via the standard nonuniform discrete Fourier", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 574, + 261, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 261, + 586 + ], + "score": 1.0, + "content": "transform (NUDFT), see Appendix A.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 472, + 507, + 586 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 591, + 505, + 657 + ], + "lines": [ + { + "bbox": [ + 105, + 590, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 605 + ], + "score": 1.0, + "content": "Frequency Principle: DNNs often fit target functions from low to high (response) frequencies during", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 602, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 505, + 615 + ], + "score": 1.0, + "content": "the training process. An illustration of F-Principle using a function of 1-d input is in Appendix B. The", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 612, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 104, + 612, + 505, + 625 + ], + "score": 1.0, + "content": "F-Principle is rigorously defined through the frequency defined by the Fourier transform (Appendix", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 622, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 622, + 506, + 637 + ], + "score": 1.0, + "content": "A, Bracewell & Bracewell (1986)) and the converging speed defined by the relative error. By using", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "high-dimensional real datasets, we then experimentally demonstrate F-Principle at the levels of both", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 646, + 480, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 480, + 658 + ], + "score": 1.0, + "content": "individual frequencies (projection method) and coarse-grained frequencies (filtering method).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41.5, + "bbox_fs": [ + 104, + 590, + 506, + 658 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 673, + 472, + 686 + ], + "lines": [ + { + "bbox": [ + 104, + 672, + 474, + 688 + ], + "spans": [ + { + "bbox": [ + 104, + 672, + 474, + 688 + ], + "score": 1.0, + "content": "3 F-PRINCIPLE IN MNIST/CIFAR10 THROUGH PROJECTION METHOD", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "Real datasets are very different from synthetic data used in previous studies. In order to utilize the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "F-Principle to understand and better use DNNs in real datasets, it is important to verify whether the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 720, + 333, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 333, + 732 + ], + "score": 1.0, + "content": "F-Principle also holds in high-dimensional real datasets.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47, + "bbox_fs": [ + 105, + 699, + 505, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 150 + ], + "lines": [ + { + "bbox": [ + 101, + 75, + 504, + 108 + ], + "spans": [ + { + "bbox": [ + 101, + 75, + 133, + 108 + ], + "score": 1.0, + "content": "In thewhere", + "type": "text" + }, + { + "bbox": [ + 141, + 75, + 230, + 108 + ], + "score": 1.0, + "content": "ollowing experiments,is the size of dataset.", + "type": "text" + }, + { + "bbox": [ + 266, + 75, + 424, + 108 + ], + "score": 1.0, + "content": "mine the F-Principle in a training datasis a vector representing the image and", + "type": "text" + }, + { + "bbox": [ + 446, + 81, + 504, + 95 + ], + "score": 0.93, + "content": "\\{ ( \\pmb { x } _ { i } , \\pmb { y } _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 133, + 94, + 479, + 106 + ], + "spans": [ + { + "bbox": [ + 133, + 96, + 141, + 105 + ], + "score": 0.75, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 94, + 266, + 106 + ], + "score": 0.92, + "content": "\\pmb { x } _ { i } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 95, + 479, + 106 + ], + "score": 0.92, + "content": "\\pmb { y } _ { i } \\in \\{ 0 , 1 \\} ^ { 1 0 }", + "type": "inline_equation" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 432, + 118 + ], + "score": 1.0, + "content": "output (a one-hot vector indicating the label for the dataset of image classification).", + "type": "text" + }, + { + "bbox": [ + 432, + 107, + 438, + 115 + ], + "score": 0.74, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "is the dimension", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 158, + 129 + ], + "score": 1.0, + "content": "of the input", + "type": "text" + }, + { + "bbox": [ + 159, + 117, + 194, + 127 + ], + "score": 0.89, + "content": "d = 7 8 4", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 116, + 260, + 129 + ], + "score": 1.0, + "content": "for MNIST and", + "type": "text" + }, + { + "bbox": [ + 261, + 117, + 329, + 127 + ], + "score": 0.92, + "content": "d = 3 2 \\times 3 2 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "for CIFAR10). Since the high dimensional", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 140 + ], + "score": 1.0, + "content": "discrete Fourier transform (DFT) requires prohibitively high computational cost, in this section, we", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 504, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 504, + 151 + ], + "score": 1.0, + "content": "only consider one direction in the Fourier space through a projection method for each examination.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 108, + 164, + 293, + 176 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 295, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 295, + 177 + ], + "score": 1.0, + "content": "3.1 EXAMINATION METHOD: PROJECTION", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 185, + 506, + 339 + ], + "lines": [ + { + "bbox": [ + 103, + 181, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 103, + 181, + 158, + 203 + ], + "score": 1.0, + "content": "For a dataset", + "type": "text" + }, + { + "bbox": [ + 158, + 185, + 215, + 199 + ], + "score": 0.94, + "content": "\\{ ( \\pmb { x } _ { i } , \\pmb { y } _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 181, + 407, + 203 + ], + "score": 1.0, + "content": "we consider one entry of 10-d output, denoted by", + "type": "text" + }, + { + "bbox": [ + 407, + 186, + 436, + 197 + ], + "score": 0.93, + "content": "y _ { i } \\in \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 181, + 506, + 203 + ], + "score": 1.0, + "content": ". The high dimen-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 102, + 192, + 503, + 219 + ], + "spans": [ + { + "bbox": [ + 102, + 192, + 214, + 219 + ], + "score": 1.0, + "content": "sional discrete non-uniform", + "type": "text" + }, + { + "bbox": [ + 223, + 192, + 296, + 219 + ], + "score": 1.0, + "content": "ourier transform of", + "type": "text" + }, + { + "bbox": [ + 297, + 198, + 353, + 212 + ], + "score": 0.93, + "content": "\\{ ( \\pmb { x } _ { i } , y _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 192, + 362, + 219 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 362, + 198, + 503, + 213 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\hat { y } _ { \\pmb { k } } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { n - 1 } y _ { i } \\exp \\left( - \\mathrm { i } 2 \\pi \\pmb { k } \\cdot \\pmb { x } _ { i } \\right) } \\end{array}", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 215, + 210, + 507, + 223 + ], + "spans": [ + { + "bbox": [ + 215, + 211, + 222, + 220 + ], + "score": 0.77, + "content": "\\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 210, + 362, + 223 + ], + "score": 1.0, + "content": "grows exponentially on dimension", + "type": "text" + }, + { + "bbox": [ + 362, + 211, + 369, + 220 + ], + "score": 0.75, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 210, + 507, + 223 + ], + "score": 1.0, + "content": ". For illustration, in each examina-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 221, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 235, + 234 + ], + "score": 1.0, + "content": "tion, we consider a direction of", + "type": "text" + }, + { + "bbox": [ + 235, + 222, + 243, + 231 + ], + "score": 0.81, + "content": "\\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 221, + 347, + 234 + ], + "score": 1.0, + "content": "in the Fourier space, i.e.,", + "type": "text" + }, + { + "bbox": [ + 347, + 222, + 398, + 233 + ], + "score": 0.76, + "content": "\\pmb { k } = k p _ { 1 } , p _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 221, + 506, + 234 + ], + "score": 1.0, + "content": "is a chosen and fixed unit", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 230, + 507, + 249 + ], + "spans": [ + { + "bbox": [ + 104, + 230, + 324, + 249 + ], + "score": 1.0, + "content": "vector, hence |k| = k. Then we have yˆk = 1n Pn−1i=0", + "type": "text" + }, + { + "bbox": [ + 260, + 232, + 419, + 247 + ], + "score": 0.89, + "content": "\\begin{array} { r } { \\hat { y } _ { k } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { \\bar { n } - 1 } y _ { i } \\exp \\left( - \\mathrm { i } 2 \\pi ( \\pmb { p } _ { 1 } \\cdot \\pmb { x } _ { j } ) k \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 233, + 507, + 248 + ], + "score": 1.0, + "content": ", which is essentially", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 102, + 241, + 509, + 264 + ], + "spans": [ + { + "bbox": [ + 102, + 241, + 227, + 264 + ], + "score": 1.0, + "content": "the 1-d Fourier transform of", + "type": "text" + }, + { + "bbox": [ + 228, + 246, + 294, + 259 + ], + "score": 0.92, + "content": "\\{ ( x _ { { p } _ { 1 } , i } , y _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 241, + 327, + 264 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 328, + 249, + 394, + 259 + ], + "score": 0.88, + "content": "x _ { p _ { 1 } , i } = p _ { 1 } \\cdot x _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 241, + 479, + 264 + ], + "score": 1.0, + "content": "is the projection of", + "type": "text" + }, + { + "bbox": [ + 479, + 249, + 490, + 258 + ], + "score": 0.84, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 241, + 509, + 264 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 162, + 270 + ], + "score": 1.0, + "content": "the direction", + "type": "text" + }, + { + "bbox": [ + 162, + 259, + 173, + 270 + ], + "score": 0.86, + "content": "\\pmb { p } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 257, + 223, + 270 + ], + "score": 1.0, + "content": "(Bracewell", + "type": "text" + }, + { + "bbox": [ + 223, + 259, + 233, + 268 + ], + "score": 0.42, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 257, + 422, + 270 + ], + "score": 1.0, + "content": "Bracewell, 1986). For each training dataset,", + "type": "text" + }, + { + "bbox": [ + 422, + 259, + 434, + 270 + ], + "score": 0.86, + "content": "\\pmb { p } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 257, + 506, + 270 + ], + "score": 1.0, + "content": "is chosen as the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "score": 1.0, + "content": "first principle component of the input space. To examine the convergence behavior of different", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "score": 1.0, + "content": "frequency components during the training, we compute the relative difference between the DNN", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 368, + 303 + ], + "score": 1.0, + "content": "output and the target function for selected important frequencies", + "type": "text" + }, + { + "bbox": [ + 369, + 291, + 375, + 301 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "’s at each recording step, that is,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 299, + 510, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 205, + 316 + ], + "score": 0.91, + "content": "\\bar { \\Delta _ { F } ( k ) } = | \\hat { h } _ { k } - \\hat { y } _ { k } | / | \\hat { y } _ { k } |", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 299, + 234, + 321 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 235, + 303, + 246, + 315 + ], + "score": 0.88, + "content": "\\hat { y } _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 299, + 263, + 321 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 263, + 302, + 275, + 315 + ], + "score": 0.9, + "content": "\\hat { h } _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 299, + 391, + 321 + ], + "score": 1.0, + "content": "are 1-d Fourier transforms of", + "type": "text" + }, + { + "bbox": [ + 392, + 302, + 426, + 316 + ], + "score": 0.93, + "content": "\\{ y _ { i } \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 299, + 510, + 321 + ], + "score": 1.0, + "content": "and the correspond-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 102, + 311, + 502, + 335 + ], + "spans": [ + { + "bbox": [ + 102, + 311, + 172, + 335 + ], + "score": 1.0, + "content": "ing DNN output", + "type": "text" + }, + { + "bbox": [ + 172, + 316, + 207, + 329 + ], + "score": 0.85, + "content": "\\{ h _ { i } \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 311, + 286, + 335 + ], + "score": 1.0, + "content": ", respectively, along", + "type": "text" + }, + { + "bbox": [ + 286, + 318, + 298, + 329 + ], + "score": 0.85, + "content": "{ \\pmb p } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 311, + 490, + 335 + ], + "score": 1.0, + "content": ". Note that each response frequency component,", + "type": "text" + }, + { + "bbox": [ + 491, + 315, + 502, + 328 + ], + "score": 0.89, + "content": "\\hat { h } _ { k }", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 327, + 284, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 284, + 341 + ], + "score": 1.0, + "content": "of DNN output evolves as the training goes.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 13 + }, + { + "type": "title", + "bbox": [ + 108, + 354, + 211, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 353, + 212, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 212, + 367 + ], + "score": 1.0, + "content": "3.2 MNIST/CIFAR10", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 374, + 506, + 496 + ], + "lines": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "score": 1.0, + "content": "In the following, we show empirically that the F-Principle is exhibited in the selected direction", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "during the training process of DNNs when applied to MNIST/CIFAR10 with cross-entropy loss. The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "score": 1.0, + "content": "network for MNIST is a fully-connected tanh DNN (784-400-200-10) and for CIFAR10 is two ReLU", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 408, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 506, + 420 + ], + "score": 1.0, + "content": "convolutional layers followed by a fully-connected DNN (800-400-400-400-10). All experimental", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 417, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 104, + 417, + 506, + 433 + ], + "score": 1.0, + "content": "details of this paper can be found in Appendix C. We consider one of the 10-d outputs in each case", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "using non-uniform Fourier transform. As shown in Fig. 1(a) and 1(c), low frequencies dominate in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "score": 1.0, + "content": "both real datasets. During the training, the evolution of relative errors of certain selected frequencies", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 451, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 506, + 465 + ], + "score": 1.0, + "content": "(marked by black squares in Fig. 1(a) and 1(c)) is shown in Fig. 1(b) and 1(d). One can easily", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "score": 1.0, + "content": "observe that DNNs capture low frequencies first and gradually capture higher frequencies. Clearly,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "score": 1.0, + "content": "this behavior is consistent with the F-Principle. 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(a, b) are for MNIST, (c, d) for CIFAR10. (a, c) Amplitude", + "type": "text" + }, + { + "bbox": [ + 475, + 586, + 491, + 598 + ], + "score": 0.91, + "content": "| \\hat { y } _ { k } |", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 584, + 506, + 599 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 381, + 610 + ], + "score": 1.0, + "content": "frequency. Selected frequencies are marked by black squares. (b, d)", + "type": "text" + }, + { + "bbox": [ + 381, + 597, + 411, + 609 + ], + "score": 0.91, + "content": "\\Delta _ { F } ( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 596, + 506, + 610 + ], + "score": 1.0, + "content": "vs. training epochs for", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 608, + 207, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 207, + 620 + ], + "score": 1.0, + "content": "the selected frequencies.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36 + } + ], + "index": 34.5 + }, + { + "type": "title", + "bbox": [ + 105, + 661, + 462, + 675 + ], + "lines": [ + { + "bbox": [ + 104, + 661, + 464, + 676 + ], + "spans": [ + { + "bbox": [ + 104, + 661, + 464, + 676 + ], + "score": 1.0, + "content": "4 F-PRINCIPLE IN MNIST/CIFAR10 THROUGH FILTERING METHOD", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "The projection method in the previous section enables us to visualize the F-Principle in one direction", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "for each examination at the level of individual frequency components. 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The high dimen-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 102, + 192, + 503, + 219 + ], + "spans": [ + { + "bbox": [ + 102, + 192, + 214, + 219 + ], + "score": 1.0, + "content": "sional discrete non-uniform", + "type": "text" + }, + { + "bbox": [ + 223, + 192, + 296, + 219 + ], + "score": 1.0, + "content": "ourier transform of", + "type": "text" + }, + { + "bbox": [ + 297, + 198, + 353, + 212 + ], + "score": 0.93, + "content": "\\{ ( \\pmb { x } _ { i } , y _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 192, + 362, + 219 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 362, + 198, + 503, + 213 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\hat { y } _ { \\pmb { k } } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { n - 1 } y _ { i } \\exp \\left( - \\mathrm { i } 2 \\pi \\pmb { k } \\cdot \\pmb { x } _ { i } \\right) } \\end{array}", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 215, + 210, + 507, + 223 + ], + "spans": [ + { + "bbox": [ + 215, + 211, + 222, + 220 + ], + "score": 0.77, + "content": "\\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 210, + 362, + 223 + ], + "score": 1.0, + "content": "grows exponentially on dimension", + "type": "text" + }, + { + "bbox": [ + 362, + 211, + 369, + 220 + ], + "score": 0.75, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 210, + 507, + 223 + ], + "score": 1.0, + "content": ". For illustration, in each examina-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 221, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 235, + 234 + ], + "score": 1.0, + "content": "tion, we consider a direction of", + "type": "text" + }, + { + "bbox": [ + 235, + 222, + 243, + 231 + ], + "score": 0.81, + "content": "\\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 221, + 347, + 234 + ], + "score": 1.0, + "content": "in the Fourier space, i.e.,", + "type": "text" + }, + { + "bbox": [ + 347, + 222, + 398, + 233 + ], + "score": 0.76, + "content": "\\pmb { k } = k p _ { 1 } , p _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 221, + 506, + 234 + ], + "score": 1.0, + "content": "is a chosen and fixed unit", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 230, + 507, + 249 + ], + "spans": [ + { + "bbox": [ + 104, + 230, + 324, + 249 + ], + "score": 1.0, + "content": "vector, hence |k| = k. Then we have yˆk = 1n Pn−1i=0", + "type": "text" + }, + { + "bbox": [ + 260, + 232, + 419, + 247 + ], + "score": 0.89, + "content": "\\begin{array} { r } { \\hat { y } _ { k } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { \\bar { n } - 1 } y _ { i } \\exp \\left( - \\mathrm { i } 2 \\pi ( \\pmb { p } _ { 1 } \\cdot \\pmb { x } _ { j } ) k \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 233, + 507, + 248 + ], + "score": 1.0, + "content": ", which is essentially", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 102, + 241, + 509, + 264 + ], + "spans": [ + { + "bbox": [ + 102, + 241, + 227, + 264 + ], + "score": 1.0, + "content": "the 1-d Fourier transform of", + "type": "text" + }, + { + "bbox": [ + 228, + 246, + 294, + 259 + ], + "score": 0.92, + "content": "\\{ ( x _ { { p } _ { 1 } , i } , y _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 241, + 327, + 264 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 328, + 249, + 394, + 259 + ], + "score": 0.88, + "content": "x _ { p _ { 1 } , i } = p _ { 1 } \\cdot x _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 241, + 479, + 264 + ], + "score": 1.0, + "content": "is the projection of", + "type": "text" + }, + { + "bbox": [ + 479, + 249, + 490, + 258 + ], + "score": 0.84, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 241, + 509, + 264 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 162, + 270 + ], + "score": 1.0, + "content": "the direction", + "type": "text" + }, + { + "bbox": [ + 162, + 259, + 173, + 270 + ], + "score": 0.86, + "content": "\\pmb { p } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 257, + 223, + 270 + ], + "score": 1.0, + "content": "(Bracewell", + "type": "text" + }, + { + "bbox": [ + 223, + 259, + 233, + 268 + ], + "score": 0.42, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 257, + 422, + 270 + ], + "score": 1.0, + "content": "Bracewell, 1986). For each training dataset,", + "type": "text" + }, + { + "bbox": [ + 422, + 259, + 434, + 270 + ], + "score": 0.86, + "content": "\\pmb { p } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 257, + 506, + 270 + ], + "score": 1.0, + "content": "is chosen as the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 281 + ], + "score": 1.0, + "content": "first principle component of the input space. To examine the convergence behavior of different", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 292 + ], + "score": 1.0, + "content": "frequency components during the training, we compute the relative difference between the DNN", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 368, + 303 + ], + "score": 1.0, + "content": "output and the target function for selected important frequencies", + "type": "text" + }, + { + "bbox": [ + 369, + 291, + 375, + 301 + ], + "score": 0.79, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "’s at each recording step, that is,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 299, + 510, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 205, + 316 + ], + "score": 0.91, + "content": "\\bar { \\Delta _ { F } ( k ) } = | \\hat { h } _ { k } - \\hat { y } _ { k } | / | \\hat { y } _ { k } |", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 299, + 234, + 321 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 235, + 303, + 246, + 315 + ], + "score": 0.88, + "content": "\\hat { y } _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 299, + 263, + 321 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 263, + 302, + 275, + 315 + ], + "score": 0.9, + "content": "\\hat { h } _ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 299, + 391, + 321 + ], + "score": 1.0, + "content": "are 1-d Fourier transforms of", + "type": "text" + }, + { + "bbox": [ + 392, + 302, + 426, + 316 + ], + "score": 0.93, + "content": "\\{ y _ { i } \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 299, + 510, + 321 + ], + "score": 1.0, + "content": "and the correspond-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 102, + 311, + 502, + 335 + ], + "spans": [ + { + "bbox": [ + 102, + 311, + 172, + 335 + ], + "score": 1.0, + "content": "ing DNN output", + "type": "text" + }, + { + "bbox": [ + 172, + 316, + 207, + 329 + ], + "score": 0.85, + "content": "\\{ h _ { i } \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 311, + 286, + 335 + ], + "score": 1.0, + "content": ", respectively, along", + "type": "text" + }, + { + "bbox": [ + 286, + 318, + 298, + 329 + ], + "score": 0.85, + "content": "{ \\pmb p } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 311, + 490, + 335 + ], + "score": 1.0, + "content": ". Note that each response frequency component,", + "type": "text" + }, + { + "bbox": [ + 491, + 315, + 502, + 328 + ], + "score": 0.89, + "content": "\\hat { h } _ { k }", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 327, + 284, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 284, + 341 + ], + "score": 1.0, + "content": "of DNN output evolves as the training goes.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 13, + "bbox_fs": [ + 102, + 181, + 510, + 341 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 354, + 211, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 353, + 212, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 212, + 367 + ], + "score": 1.0, + "content": "3.2 MNIST/CIFAR10", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 374, + 506, + 496 + ], + "lines": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "score": 1.0, + "content": "In the following, we show empirically that the F-Principle is exhibited in the selected direction", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "during the training process of DNNs when applied to MNIST/CIFAR10 with cross-entropy loss. The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 409 + ], + "score": 1.0, + "content": "network for MNIST is a fully-connected tanh DNN (784-400-200-10) and for CIFAR10 is two ReLU", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 408, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 506, + 420 + ], + "score": 1.0, + "content": "convolutional layers followed by a fully-connected DNN (800-400-400-400-10). All experimental", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 417, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 104, + 417, + 506, + 433 + ], + "score": 1.0, + "content": "details of this paper can be found in Appendix C. We consider one of the 10-d outputs in each case", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "using non-uniform Fourier transform. As shown in Fig. 1(a) and 1(c), low frequencies dominate in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "score": 1.0, + "content": "both real datasets. During the training, the evolution of relative errors of certain selected frequencies", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 451, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 506, + 465 + ], + "score": 1.0, + "content": "(marked by black squares in Fig. 1(a) and 1(c)) is shown in Fig. 1(b) and 1(d). One can easily", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "score": 1.0, + "content": "observe that DNNs capture low frequencies first and gradually capture higher frequencies. Clearly,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "score": 1.0, + "content": "this behavior is consistent with the F-Principle. For other components of the output vector and other", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 484, + 323, + 496 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 159, + 496 + ], + "score": 1.0, + "content": "directions of", + "type": "text" + }, + { + "bbox": [ + 159, + 486, + 166, + 496 + ], + "score": 0.72, + "content": "\\pmb { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 484, + 323, + 496 + ], + "score": 1.0, + "content": ", similar phenomena are also observed.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 26, + "bbox_fs": [ + 104, + 375, + 506, + 496 + ] + }, + { + "type": "image", + "bbox": [ + 142, + 515, + 468, + 578 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 142, + 515, + 468, + 578 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 142, + 515, + 468, + 578 + ], + "spans": [ + { + "bbox": [ + 142, + 515, + 468, + 578 + ], + "score": 0.959, + "type": "image", + "image_path": "c54948a38c4b0beb443d07e6968dfc4de4d4583faa2cf89f74a5c67b51d73713.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 142, + 515, + 468, + 536.0 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 142, + 536.0, + 468, + 557.0 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 142, + 557.0, + 468, + 578.0 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 586, + 506, + 619 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 584, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 474, + 599 + ], + "score": 1.0, + "content": "Figure 1: Projection method. (a, b) are for MNIST, (c, d) for CIFAR10. (a, c) Amplitude", + "type": "text" + }, + { + "bbox": [ + 475, + 586, + 491, + 598 + ], + "score": 0.91, + "content": "| \\hat { y } _ { k } |", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 584, + 506, + 599 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 381, + 610 + ], + "score": 1.0, + "content": "frequency. Selected frequencies are marked by black squares. (b, d)", + "type": "text" + }, + { + "bbox": [ + 381, + 597, + 411, + 609 + ], + "score": 0.91, + "content": "\\Delta _ { F } ( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 596, + 506, + 610 + ], + "score": 1.0, + "content": "vs. training epochs for", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 608, + 207, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 207, + 620 + ], + "score": 1.0, + "content": "the selected frequencies.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36 + } + ], + "index": 34.5 + }, + { + "type": "title", + "bbox": [ + 105, + 661, + 462, + 675 + ], + "lines": [ + { + "bbox": [ + 104, + 661, + 464, + 676 + ], + "spans": [ + { + "bbox": [ + 104, + 661, + 464, + 676 + ], + "score": 1.0, + "content": "4 F-PRINCIPLE IN MNIST/CIFAR10 THROUGH FILTERING METHOD", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "The projection method in the previous section enables us to visualize the F-Principle in one direction", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "for each examination at the level of individual frequency components. However, demonstration by", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "this method alone is insufficient because it is impossible to verify the F-Principle at all potentially", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 732 + ], + "score": 1.0, + "content": "informative directions for high-dimensional data. 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", where", + "type": "text" + }, + { + "bbox": [ + 259, + 341, + 265, + 351 + ], + "score": 0.79, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 339, + 428, + 354 + ], + "score": 1.0, + "content": "is the variance of the Gaussian function", + "type": "text" + }, + { + "bbox": [ + 429, + 341, + 438, + 351 + ], + "score": 0.76, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 339, + 506, + 354 + ], + "score": 1.0, + "content": ", to approximate", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 351, + 507, + 365 + ], + "spans": [ + { + "bbox": [ + 107, + 352, + 138, + 365 + ], + "score": 0.92, + "content": "\\mathbb { 1 } _ { | k | > k _ { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 351, + 507, + 365 + ], + "score": 1.0, + "content": ". 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We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "score": 1.0, + "content": "can equivalently perform the examination in the spatial domain so as to avoid the almost impossible", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 423, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 423, + 436 + ], + "score": 1.0, + "content": "high-dimensional Fourier transform. 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If", + "type": "text" + }, + { + "bbox": [ + 311, + 540, + 363, + 551 + ], + "score": 0.91, + "content": "e _ { \\mathrm { l o w } } < e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 538, + 414, + 553 + ], + "score": 1.0, + "content": "for different", + "type": "text" + }, + { + "bbox": [ + 414, + 540, + 420, + 549 + ], + "score": 0.74, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 538, + 507, + 553 + ], + "score": 1.0, + "content": "’s during the training,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 550, + 471, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 471, + 563 + ], + "score": 1.0, + "content": "F-Principle holds; otherwise, it is falsified. 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(3).", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 8 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 505, + 105 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 506, + 106 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 108, + 118, + 284, + 129 + ], + "lines": [ + { + "bbox": [ + 106, + 118, + 286, + 130 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 286, + 130 + ], + "score": 1.0, + "content": "4.1 EXAMINATION METHOD: FILTERING", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 137, + 506, + 195 + ], + "lines": [ + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "The idea of the filtering method is as follows. 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During the training,", + "type": "text" + }, + { + "bbox": [ + 367, + 160, + 424, + 174 + ], + "score": 0.93, + "content": "\\{ ( { \\pmb x } _ { i } , { \\pmb y } _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 156, + 509, + 186 + ], + "score": 1.0, + "content": ", such as MNIST ore the convergence of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 272, + 173, + 279, + 182 + ], + "spans": [ + { + "bbox": [ + 272, + 173, + 279, + 182 + ], + "score": 0.78, + "content": "^ { h }", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 183, + 421, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 183, + 421, + 196 + ], + "score": 1.0, + "content": "relative errors of low- and high- frequency part, using the two measures below", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5, + "bbox_fs": [ + 102, + 137, + 509, + 196 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 115, + 209, 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} } ) | ^ { 2 } } \\right) ^ { \\frac { 1 } { 2 } } ,", + "type": "interline_equation", + "image_path": "eb5cd2fb0bd6fad13229f3afd26783f91d201b7e323e8ed7b051198f691aae50.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 115, + 209, + 494, + 221.33333333333334 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 115, + 221.33333333333334, + 494, + 233.66666666666669 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 115, + 233.66666666666669, + 494, + 246.00000000000003 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 110, + 247, + 448, + 259 + ], + "lines": [ + { + "bbox": [ + 108, + 246, + 447, + 261 + ], + "spans": [ + { + "bbox": [ + 108, + 246, + 304, + 261 + ], + "score": 1.0, + "content": "respectively, where ˆ· indicates Fourier transform,", + "type": "text" + }, + { + "bbox": [ + 304, + 248, + 330, + 259 + ], + "score": 0.91, + "content": "{ \\mathbb { 1 } } _ { k \\leq k _ { 0 } }", + "type": "inline_equation" 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This is reasonable due to the following two reasons. First, the Fourier transform of a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 364, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 246, + 379 + ], + "score": 1.0, + "content": "Gaussian is still a Gaussian, i.e.,", + "type": "text" + }, + { + "bbox": [ + 246, + 364, + 274, + 378 + ], + "score": 0.93, + "content": "{ \\hat { G } } ^ { \\delta } ( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 364, + 378, + 379 + ], + "score": 1.0, + "content": "decays exponentially as", + "type": "text" + }, + { + "bbox": [ + 378, + 365, + 391, + 378 + ], + "score": 0.89, + "content": "| k |", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 364, + 506, + 379 + ], + "score": 1.0, + "content": "increases, therefore, it can", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 377, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 161, + 392 + ], + "score": 1.0, + "content": "approximate", + "type": "text" + }, + { + "bbox": [ + 161, + 379, + 191, + 392 + ], + "score": 0.92, + "content": "\\mathbb { 1 } _ { | k | \\leq k _ { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 378, + 207, + 392 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 207, + 377, + 234, + 391 + ], + "score": 0.92, + "content": "{ \\hat { G } } ^ { \\delta } ( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 378, + 294, + 392 + ], + "score": 1.0, + "content": "with a proper", + "type": "text" + }, + { + "bbox": [ + 294, + 378, + 318, + 390 + ], + "score": 0.92, + "content": "\\delta ( k _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 378, + 380, + 392 + ], + "score": 1.0, + "content": "(referred to as", + "type": "text" + }, + { + "bbox": [ + 380, + 379, + 387, + 389 + ], + "score": 0.77, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 378, + 506, + 392 + ], + "score": 1.0, + "content": "for simplicity). Second, the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 389, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 172, + 403 + ], + "score": 1.0, + "content": "computation of", + "type": "text" + }, + { + "bbox": [ + 172, + 392, + 190, + 401 + ], + "score": 0.88, + "content": "e _ { \\mathrm { l o w } }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 389, + 209, + 403 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 209, + 392, + 231, + 402 + ], + "score": 0.87, + "content": "e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 389, + 506, + 403 + ], + "score": 1.0, + "content": "contains the multiplication of Fourier transforms in the frequency", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "score": 1.0, + "content": "domain, which is equivalent to the Fourier transform of a convolution in the spatial domain. We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 425 + ], + "score": 1.0, + "content": "can equivalently perform the examination in the spatial domain so as to avoid the almost impossible", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 423, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 423, + 436 + ], + "score": 1.0, + "content": "high-dimensional Fourier transform. 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\\pmb { y } _ { i } ^ { \\mathrm { l o w } , \\delta } . } \\end{array}", + "type": "interline_equation", + "image_path": "e6dffb1b9346164444b4c8e4876a790b4cbbaf9ba7453b5a6e7d53e1ba602e14.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 259, + 462, + 350, + 478 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 479, + 198, + 490 + ], + "lines": [ + { + "bbox": [ + 105, + 478, + 198, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 198, + 491 + ], + "score": 1.0, + "content": "Then, we can examine", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 478, + 198, + 491 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 146, + 489, + 463, + 527 + ], + "lines": [ + { + "bbox": [ + 146, + 489, + 463, + 527 + ], + "spans": [ + { + "bbox": [ + 146, + 489, + 463, + 527 + ], + "score": 0.94, + "content": "e _ { \\mathrm { l o w } } = \\left( \\frac { \\sum _ { i } | y _ { i } ^ { \\mathrm { l o w } , \\delta } - h _ { i } ^ { \\mathrm { l o w } , \\delta } | ^ { 2 } } { \\sum _ { i } | y _ { i } ^ { \\mathrm { l o w } , \\delta } | ^ { 2 } } \\right) ^ { \\frac 1 2 } , \\quad e _ { \\mathrm { h i g h } } = \\left( \\frac { \\sum _ { i } | y _ { i } ^ { \\mathrm { h i g h } , \\delta } - h _ { i } ^ { \\mathrm { h i g h } , \\delta } | ^ { 2 } } { \\sum _ { i } | y _ { i } ^ { \\mathrm { h i g h } , \\delta } | ^ { 2 } } \\right) ^ { \\frac 1 2 } ,", + "type": "interline_equation", + "image_path": "5b6b38fd6c1e8543ba958a37bd2255a3acf04622980eb54dd4fc89c027b9c470.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 146, + 489, + 463, + 501.6666666666667 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 146, + 501.6666666666667, + 463, + 514.3333333333334 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 146, + 514.3333333333334, + 463, + 527.0 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 528, + 506, + 562 + ], + "lines": [ + { + "bbox": [ + 105, + 526, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 134, + 541 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 527, + 161, + 538 + ], + "score": 0.89, + "content": "\\boldsymbol { h } ^ { \\mathrm { l o w } , \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 526, + 181, + 541 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 181, + 527, + 210, + 538 + ], + "score": 0.89, + "content": "h ^ { \\mathrm { h i g h } , \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 526, + 361, + 541 + ], + "score": 1.0, + "content": "are obtained from the DNN output", + "type": "text" + }, + { + "bbox": [ + 362, + 529, + 369, + 538 + ], + "score": 0.81, + "content": "^ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 526, + 506, + 541 + ], + "score": 1.0, + "content": ", which evolves as a function of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 538, + 507, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 311, + 553 + ], + "score": 1.0, + "content": "training epoch, through the same decomposition. If", + "type": "text" + }, + { + "bbox": [ + 311, + 540, + 363, + 551 + ], + "score": 0.91, + "content": "e _ { \\mathrm { l o w } } < e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 538, + 414, + 553 + ], + "score": 1.0, + "content": "for different", + "type": "text" + }, + { + "bbox": [ + 414, + 540, + 420, + 549 + ], + "score": 0.74, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 538, + 507, + 553 + ], + "score": 1.0, + "content": "’s during the training,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 550, + 471, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 471, + 563 + ], + "score": 1.0, + "content": "F-Principle holds; otherwise, it is falsified. Next, we introduce the experimental procedure.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 526, + 507, + 563 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 566, + 504, + 590 + ], + "lines": [ + { + "bbox": [ + 104, + 564, + 507, + 583 + ], + "spans": [ + { + "bbox": [ + 104, + 564, + 362, + 583 + ], + "score": 1.0, + "content": "Step One: Training. Train the DNN by the original dataset", + "type": "text" + }, + { + "bbox": [ + 363, + 566, + 420, + 580 + ], + "score": 0.93, + "content": "\\{ ( \\pmb { x } _ { i } , \\pmb { y } _ { i } ) \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 564, + 507, + 583 + ], + "score": 1.0, + "content": ", such as MNIST or", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 577, + 330, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 150, + 591 + ], + "score": 1.0, + "content": "CIFAR10.", + "type": "text" + }, + { + "bbox": [ + 150, + 579, + 162, + 589 + ], + "score": 0.83, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 577, + 240, + 591 + ], + "score": 1.0, + "content": "is an image vector,", + "type": "text" + }, + { + "bbox": [ + 240, + 580, + 250, + 590 + ], + "score": 0.84, + "content": "\\mathbf { \\nabla } _ { \\mathbf { \\psi } _ { 3 } } \\psi _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 577, + 330, + 591 + ], + "score": 1.0, + "content": "is a one-hot vector.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5, + "bbox_fs": [ + 104, + 564, + 507, + 591 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 595, + 361, + 607 + ], + "lines": [ + { + "bbox": [ + 106, + 592, + 360, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 360, + 610 + ], + "score": 1.0, + "content": "Step Two: Filtering. The low frequency part can be derived by", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37, + "bbox_fs": [ + 106, + 592, + 360, + 610 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 607, + 374, + 642 + ], + "lines": [ + { + "bbox": [ + 236, + 607, + 374, + 642 + ], + "spans": [ + { + "bbox": [ + 236, + 607, + 374, + 642 + ], + "score": 0.95, + "content": "{ \\pmb y } _ { i } ^ { \\mathrm { l o w } , \\delta } = \\frac { 1 } { C _ { i } } \\sum _ { j = 0 } ^ { n - 1 } { \\pmb y } _ { j } G ^ { \\delta } ( { \\pmb x } _ { i } - { \\pmb x } _ { j } ) ,", + "type": "interline_equation", + "image_path": "5f8f95f984d05ed7f72bb427fe940ea01a7d3c466d3b85d9b5c20cd25060a21f.jpg" + } + ] + } + ], + "index": 38.5, + "virtual_lines": [ + { + "bbox": [ + 236, + 607, + 374, + 624.5 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 236, + 624.5, + 374, + 642.0 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 643, + 357, + 658 + ], + "lines": [ + { + "bbox": [ + 104, + 640, + 359, + 662 + ], + "spans": [ + { + "bbox": [ + 104, + 640, + 133, + 662 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 643, + 238, + 659 + ], + "score": 0.93, + "content": "\\begin{array} { r } { C _ { i } = \\sum _ { j = 0 } ^ { n - 1 } G ^ { \\delta } ( \\pmb { x } _ { i } - \\pmb { x } _ { j } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 640, + 359, + 662 + ], + "score": 1.0, + "content": "is a normalization factor and", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40, + "bbox_fs": [ + 104, + 640, + 359, + 662 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 659, + 391, + 675 + ], + "lines": [ + { + "bbox": [ + 219, + 659, + 391, + 675 + ], + "spans": [ + { + "bbox": [ + 219, + 659, + 391, + 675 + ], + "score": 0.89, + "content": "G ^ { \\delta } ( \\pmb { x } _ { i } - \\pmb { x } _ { j } ) = \\exp \\left( - | \\pmb { x } _ { i } - \\pmb { x } _ { j } | ^ { 2 } / ( 2 \\delta ) \\right) .", + "type": "interline_equation", + "image_path": "63d88d4c0b8e859afd0b259dd62f554ec7b9d91a43c2c377fd43ac39e8ab2a17.jpg" + } + ] + } + ], + "index": 41, + "virtual_lines": [ + { + "bbox": [ + 219, + 659, + 391, + 675 + ], + "spans": [], + "index": 41 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 676, + 504, + 703 + ], + "lines": [ + { + "bbox": [ + 104, + 671, + 506, + 698 + ], + "spans": [ + { + "bbox": [ + 104, + 672, + 286, + 694 + ], + "score": 1.0, + "content": "The high frequency part can be derived by", + "type": "text" + }, + { + "bbox": [ + 286, + 676, + 378, + 690 + ], + "score": 0.91, + "content": "\\pmb { y } _ { i } ^ { \\mathrm { h i g h } , \\delta } \\triangleq \\pmb { y } _ { i } - \\pmb { y } _ { i } ^ { \\mathrm { l o w } , \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 671, + 459, + 698 + ], + "score": 1.0, + "content": ". We also compute", + "type": "text" + }, + { + "bbox": [ + 459, + 676, + 486, + 690 + ], + "score": 0.92, + "content": "h _ { i } ^ { \\mathrm { l o w } , \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 671, + 506, + 698 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 684, + 242, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 136, + 704 + ], + "score": 0.91, + "content": "h _ { i } ^ { \\mathrm { h i g h } , \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 684, + 224, + 711 + ], + "score": 1.0, + "content": "for each DNN output", + "type": "text" + }, + { + "bbox": [ + 224, + 691, + 235, + 703 + ], + "score": 0.88, + "content": "\\boldsymbol { h } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 684, + 242, + 711 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5, + "bbox_fs": [ + 104, + 671, + 506, + 711 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 733 + ], + "lines": [ + { + "bbox": [ + 104, + 705, + 507, + 725 + ], + "spans": [ + { + "bbox": [ + 104, + 705, + 355, + 725 + ], + "score": 1.0, + "content": "Step Three: Examination. To quantify the convergence of", + "type": "text" + }, + { + "bbox": [ + 356, + 709, + 381, + 720 + ], + "score": 0.9, + "content": "\\boldsymbol { h } ^ { \\mathrm { l o w } , \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 705, + 402, + 725 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 402, + 708, + 431, + 720 + ], + "score": 0.89, + "content": "h ^ { \\mathrm { h i g h } , \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 705, + 507, + 725 + ], + "score": 1.0, + "content": ", we compute the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 720, + 376, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 160, + 734 + ], + "score": 1.0, + "content": "relative error", + "type": "text" + }, + { + "bbox": [ + 160, + 722, + 178, + 732 + ], + "score": 0.88, + "content": "e _ { \\mathrm { l o w } }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 720, + 196, + 734 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 197, + 722, + 218, + 733 + ], + "score": 0.89, + "content": "e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 720, + 376, + 734 + ], + "score": 1.0, + "content": "at each training epoch through Eq. (3).", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5, + "bbox_fs": [ + 104, + 705, + 507, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 270, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 271, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 271, + 95 + ], + "score": 1.0, + "content": "4.2 DNNS WITH VARIOUS SETTINGS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 103, + 505, + 181 + ], + "lines": [ + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "score": 1.0, + "content": "With the filtering method, we show the F-Principle in the DNN training process of real datasets for", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 115, + 504, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 504, + 127 + ], + "score": 1.0, + "content": "commonly used large networks. For MNIST, we use a fully-connected tanh-DNN (no softmax) with", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "MSE loss; for CIFAR10, we use cross-entropy loss and two structures, one is small ReLU-CNN", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 137, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 149 + ], + "score": 1.0, + "content": "network, i.e., two convolutional layers, followed by a fully-connected multi-layer neural network with", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "score": 1.0, + "content": "a softmax; the other is VGG16 (Simonyan & Zisserman, 2014) equipped with a 1024 fully-connected", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 157, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 506, + 172 + ], + "score": 1.0, + "content": "layer. These three structures are denoted as “DNN”, “CNN” and “VGG” in Fig. 2, respectively. All", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 170, + 373, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 373, + 182 + ], + "score": 1.0, + "content": "are trained by SGD from scratch. More details are in Appendix C.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 186, + 505, + 264 + ], + "lines": [ + { + "bbox": [ + 106, + 186, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 204, + 199 + ], + "score": 1.0, + "content": "We scan a large range of", + "type": "text" + }, + { + "bbox": [ + 205, + 187, + 211, + 196 + ], + "score": 0.75, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 186, + 477, + 199 + ], + "score": 1.0, + "content": "for both datasets. As an example, results of each dataset for several", + "type": "text" + }, + { + "bbox": [ + 477, + 187, + 483, + 196 + ], + "score": 0.54, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 186, + 505, + 199 + ], + "score": 1.0, + "content": "’s are", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 198, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 210 + ], + "score": 1.0, + "content": "shown in Fig. 2, respectively. Red color indicates small relative error. In all cases, the relative error", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 207, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 227, + 222 + ], + "score": 1.0, + "content": "of the low-frequency part, i.e.,", + "type": "text" + }, + { + "bbox": [ + 228, + 210, + 246, + 220 + ], + "score": 0.88, + "content": "e _ { \\mathrm { l o w } }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 207, + 506, + 222 + ], + "score": 1.0, + "content": ", decreases (turns red) much faster than that of the high-frequency", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 146, + 232 + ], + "score": 1.0, + "content": "part, i.e.,", + "type": "text" + }, + { + "bbox": [ + 147, + 221, + 168, + 232 + ], + "score": 0.89, + "content": "e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 220, + 505, + 232 + ], + "score": 1.0, + "content": ". Therefore, as analyzed above, the low-frequency part converges faster than the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "high-frequency part. We also remark that, based on the above results on cross-entropy loss, the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 240, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 505, + 254 + ], + "score": 1.0, + "content": "F-Principle is not limited to MSE loss, which possesses a natural Fourier domain interpretation by", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 253, + 426, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 426, + 264 + ], + "score": 1.0, + "content": "the Parseval’s theorem. Note that the above results holds for both SGD and GD.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "image", + "bbox": [ + 188, + 290, + 420, + 435 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 188, + 290, + 420, + 435 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 188, + 290, + 420, + 435 + ], + "spans": [ + { + "bbox": [ + 188, + 290, + 420, + 435 + ], + "score": 0.971, + "type": "image", + "image_path": "0b27fb9f7b284c06ec72325d8857b6f2104077b717f26513b80570ab7b3e1dc5.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 188, + 290, + 420, + 303.1818181818182 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 188, + 303.1818181818182, + 420, + 316.3636363636364 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 188, + 316.3636363636364, + 420, + 329.54545454545456 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 188, + 329.54545454545456, + 420, + 342.72727272727275 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 188, + 342.72727272727275, + 420, + 355.90909090909093 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 188, + 355.90909090909093, + 420, + 369.0909090909091 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 188, + 369.0909090909091, + 420, + 382.2727272727273 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 188, + 382.2727272727273, + 420, + 395.4545454545455 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 188, + 395.4545454545455, + 420, + 408.6363636363637 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 188, + 408.6363636363637, + 420, + 421.81818181818187 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 188, + 421.81818181818187, + 420, + 435.00000000000006 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 111, + 443, + 491, + 456 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 443, + 493, + 457 + ], + "spans": [ + { + "bbox": [ + 114, + 443, + 266, + 457 + ], + "score": 1.0, + "content": "Figure 2: F-Principle in real datasets.", + "type": "text" + }, + { + "bbox": [ + 267, + 446, + 285, + 455 + ], + "score": 0.87, + "content": "e _ { \\mathrm { l o w } }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 443, + 303, + 457 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 303, + 446, + 325, + 456 + ], + "score": 0.89, + "content": "e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 443, + 493, + 457 + ], + "score": 1.0, + "content": "indicated by color against training epoch.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + } + ], + "index": 23.0 + }, + { + "type": "title", + "bbox": [ + 107, + 502, + 388, + 514 + ], + "lines": [ + { + "bbox": [ + 104, + 501, + 389, + 517 + ], + "spans": [ + { + "bbox": [ + 104, + 501, + 389, + 517 + ], + "score": 1.0, + "content": "5 F-PRINCIPLE IN SOLVING DIFFERENTIAL EQUATION", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 527, + 506, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "score": 1.0, + "content": "Recently, DNN-based approaches have been actively explored for a variety of scientific computing", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 539, + 507, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 507, + 552 + ], + "score": 1.0, + "content": "problems, e.g., solving high-dimensional partial differential equations (E et al., 2017; Khoo et al.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "2017; He et al., 2018; Fan et al., 2018) and molecular dynamics (MD) simulations (Han et al., 2017).", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "score": 1.0, + "content": "However, the behaviors of DNNs applied to these problems are not well-understood. To facilitate the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "designs and applications of DNN-based schemes, it is important to characterize the difference between", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "DNNs and conventional numerical schemes on various scientific computing problems. In this section,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "focusing on solving Poisson’s equation, which has broad applications in mechanical engineering and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "theoretical physics (Evans, 2010), we highlight a stark difference between a DNN-based solver and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 615, + 469, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 469, + 629 + ], + "score": 1.0, + "content": "the Jacobi method during the training/iteration, which can be explained by the F-Principle.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 632, + 246, + 644 + ], + "lines": [ + { + "bbox": [ + 106, + 631, + 247, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 247, + 646 + ], + "score": 1.0, + "content": "Consider a 1-d Poisson’s equation:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 651, + 385, + 682 + ], + "lines": [ + { + "bbox": [ + 225, + 651, + 385, + 682 + ], + "spans": [ + { + "bbox": [ + 225, + 651, + 385, + 682 + ], + "score": 0.9, + "content": "\\begin{array} { r l } & { - \\Delta u ( x ) = g ( x ) , \\quad x \\in \\Omega \\triangleq ( - 1 , 1 ) , } \\\\ & { u ( - 1 ) = u ( 1 ) = 0 . } \\end{array}", + "type": "interline_equation", + "image_path": "aec70d81b39919e06ce99194be3968244b8fd1515d1a7f4ad5654fb6d74f1b6e.jpg" + } + ] + } + ], + "index": 38.5, + "virtual_lines": [ + { + "bbox": [ + 225, + 651, + 385, + 666.5 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 225, + 666.5, + 385, + 682.0 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 226, + 700 + ], + "score": 1.0, + "content": "We consider the example with", + "type": "text" + }, + { + "bbox": [ + 226, + 687, + 429, + 699 + ], + "score": 0.87, + "content": "g ( x ) = \\sin ( x ) + 4 \\sin ( 4 x ) - 8 \\sin ( 8 x ) + 1 6 \\sin ( 2 4 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "which has analytic", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 698, + 503, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 140, + 712 + ], + "score": 1.0, + "content": "solution", + "type": "text" + }, + { + "bbox": [ + 141, + 699, + 255, + 710 + ], + "score": 0.88, + "content": "u _ { \\mathrm { r e f } } ( x ) = g _ { 0 } ( x ) + c _ { 1 } x + c _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 698, + 285, + 712 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 286, + 699, + 503, + 711 + ], + "score": 0.87, + "content": "g _ { 0 } = \\sin ( x ) + \\sin ( 4 x ) / 4 - \\sin ( 8 x ) / 8 + \\sin ( 2 4 x ) / 3 6 ,", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 107, + 708, + 507, + 724 + ], + "spans": [ + { + "bbox": [ + 107, + 710, + 208, + 722 + ], + "score": 0.9, + "content": "c _ { 1 } = ( g _ { 0 } ( - 1 ) - g _ { 0 } ( 1 ) ) / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 708, + 226, + 724 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 710, + 335, + 722 + ], + "score": 0.9, + "content": "c _ { 0 } = - ( g _ { 0 } ( - 1 ) + g _ { 0 } ( 1 ) ) / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 708, + 429, + 724 + ], + "score": 1.0, + "content": ". 1001 training samples", + "type": "text" + }, + { + "bbox": [ + 429, + 710, + 462, + 722 + ], + "score": 0.88, + "content": "\\{ x _ { i } \\} _ { i = 0 } ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 708, + 507, + 724 + ], + "score": 1.0, + "content": "are evenly", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 192, + 733 + ], + "score": 1.0, + "content": "spaced with grid size", + "type": "text" + }, + { + "bbox": [ + 192, + 721, + 204, + 731 + ], + "score": 0.82, + "content": "\\delta x", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 720, + 216, + 733 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 216, + 721, + 236, + 732 + ], + "score": 0.67, + "content": "[ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 720, + 363, + 733 + ], + "score": 1.0, + "content": ". Here, we use the DNN output,", + "type": "text" + }, + { + "bbox": [ + 364, + 721, + 393, + 732 + ], + "score": 0.92, + "content": "h ( x ; \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 720, + 417, + 733 + ], + "score": 1.0, + "content": ", to fit", + "type": "text" + }, + { + "bbox": [ + 418, + 721, + 448, + 732 + ], + "score": 0.91, + "content": "u _ { \\mathrm { r e f } } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "(Fig. 3(a)). A", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 763 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 270, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 271, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 271, + 95 + ], + "score": 1.0, + "content": "4.2 DNNS WITH VARIOUS SETTINGS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 103, + 505, + 181 + ], + "lines": [ + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 505, + 116 + ], + "score": 1.0, + "content": "With the filtering method, we show the F-Principle in the DNN training process of real datasets for", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 115, + 504, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 504, + 127 + ], + "score": 1.0, + "content": "commonly used large networks. For MNIST, we use a fully-connected tanh-DNN (no softmax) with", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "MSE loss; for CIFAR10, we use cross-entropy loss and two structures, one is small ReLU-CNN", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 137, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 505, + 149 + ], + "score": 1.0, + "content": "network, i.e., two convolutional layers, followed by a fully-connected multi-layer neural network with", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "score": 1.0, + "content": "a softmax; the other is VGG16 (Simonyan & Zisserman, 2014) equipped with a 1024 fully-connected", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 157, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 506, + 172 + ], + "score": 1.0, + "content": "layer. These three structures are denoted as “DNN”, “CNN” and “VGG” in Fig. 2, respectively. All", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 170, + 373, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 373, + 182 + ], + "score": 1.0, + "content": "are trained by SGD from scratch. More details are in Appendix C.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 104, + 506, + 182 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 186, + 505, + 264 + ], + "lines": [ + { + "bbox": [ + 106, + 186, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 204, + 199 + ], + "score": 1.0, + "content": "We scan a large range of", + "type": "text" + }, + { + "bbox": [ + 205, + 187, + 211, + 196 + ], + "score": 0.75, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 186, + 477, + 199 + ], + "score": 1.0, + "content": "for both datasets. As an example, results of each dataset for several", + "type": "text" + }, + { + "bbox": [ + 477, + 187, + 483, + 196 + ], + "score": 0.54, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 186, + 505, + 199 + ], + "score": 1.0, + "content": "’s are", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 198, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 506, + 210 + ], + "score": 1.0, + "content": "shown in Fig. 2, respectively. Red color indicates small relative error. In all cases, the relative error", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 207, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 227, + 222 + ], + "score": 1.0, + "content": "of the low-frequency part, i.e.,", + "type": "text" + }, + { + "bbox": [ + 228, + 210, + 246, + 220 + ], + "score": 0.88, + "content": "e _ { \\mathrm { l o w } }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 207, + 506, + 222 + ], + "score": 1.0, + "content": ", decreases (turns red) much faster than that of the high-frequency", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 146, + 232 + ], + "score": 1.0, + "content": "part, i.e.,", + "type": "text" + }, + { + "bbox": [ + 147, + 221, + 168, + 232 + ], + "score": 0.89, + "content": "e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 220, + 505, + 232 + ], + "score": 1.0, + "content": ". Therefore, as analyzed above, the low-frequency part converges faster than the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "high-frequency part. We also remark that, based on the above results on cross-entropy loss, the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 240, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 505, + 254 + ], + "score": 1.0, + "content": "F-Principle is not limited to MSE loss, which possesses a natural Fourier domain interpretation by", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 253, + 426, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 426, + 264 + ], + "score": 1.0, + "content": "the Parseval’s theorem. Note that the above results holds for both SGD and GD.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 186, + 506, + 264 + ] + }, + { + "type": "image", + "bbox": [ + 188, + 290, + 420, + 435 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 188, + 290, + 420, + 435 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 188, + 290, + 420, + 435 + ], + "spans": [ + { + "bbox": [ + 188, + 290, + 420, + 435 + ], + "score": 0.971, + "type": "image", + "image_path": "0b27fb9f7b284c06ec72325d8857b6f2104077b717f26513b80570ab7b3e1dc5.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 188, + 290, + 420, + 303.1818181818182 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 188, + 303.1818181818182, + 420, + 316.3636363636364 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 188, + 316.3636363636364, + 420, + 329.54545454545456 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 188, + 329.54545454545456, + 420, + 342.72727272727275 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 188, + 342.72727272727275, + 420, + 355.90909090909093 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 188, + 355.90909090909093, + 420, + 369.0909090909091 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 188, + 369.0909090909091, + 420, + 382.2727272727273 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 188, + 382.2727272727273, + 420, + 395.4545454545455 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 188, + 395.4545454545455, + 420, + 408.6363636363637 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 188, + 408.6363636363637, + 420, + 421.81818181818187 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 188, + 421.81818181818187, + 420, + 435.00000000000006 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 111, + 443, + 491, + 456 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 443, + 493, + 457 + ], + "spans": [ + { + "bbox": [ + 114, + 443, + 266, + 457 + ], + "score": 1.0, + "content": "Figure 2: F-Principle in real datasets.", + "type": "text" + }, + { + "bbox": [ + 267, + 446, + 285, + 455 + ], + "score": 0.87, + "content": "e _ { \\mathrm { l o w } }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 443, + 303, + 457 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 303, + 446, + 325, + 456 + ], + "score": 0.89, + "content": "e _ { \\mathrm { h i g h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 443, + 493, + 457 + ], + "score": 1.0, + "content": "indicated by color against training epoch.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + } + ], + "index": 23.0 + }, + { + "type": "title", + "bbox": [ + 107, + 502, + 388, + 514 + ], + "lines": [ + { + "bbox": [ + 104, + 501, + 389, + 517 + ], + "spans": [ + { + "bbox": [ + 104, + 501, + 389, + 517 + ], + "score": 1.0, + "content": "5 F-PRINCIPLE IN SOLVING DIFFERENTIAL EQUATION", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 527, + 506, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 541 + ], + "score": 1.0, + "content": "Recently, DNN-based approaches have been actively explored for a variety of scientific computing", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 539, + 507, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 507, + 552 + ], + "score": 1.0, + "content": "problems, e.g., solving high-dimensional partial differential equations (E et al., 2017; Khoo et al.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "2017; He et al., 2018; Fan et al., 2018) and molecular dynamics (MD) simulations (Han et al., 2017).", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "score": 1.0, + "content": "However, the behaviors of DNNs applied to these problems are not well-understood. To facilitate the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "designs and applications of DNN-based schemes, it is important to characterize the difference between", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "DNNs and conventional numerical schemes on various scientific computing problems. In this section,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "focusing on solving Poisson’s equation, which has broad applications in mechanical engineering and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "theoretical physics (Evans, 2010), we highlight a stark difference between a DNN-based solver and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 615, + 469, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 469, + 629 + ], + "score": 1.0, + "content": "the Jacobi method during the training/iteration, which can be explained by the F-Principle.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 527, + 507, + 629 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 632, + 246, + 644 + ], + "lines": [ + { + "bbox": [ + 106, + 631, + 247, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 247, + 646 + ], + "score": 1.0, + "content": "Consider a 1-d Poisson’s equation:", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37, + "bbox_fs": [ + 106, + 631, + 247, + 646 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 651, + 385, + 682 + ], + "lines": [ + { + "bbox": [ + 225, + 651, + 385, + 682 + ], + "spans": [ + { + "bbox": [ + 225, + 651, + 385, + 682 + ], + "score": 0.9, + "content": "\\begin{array} { r l } & { - \\Delta u ( x ) = g ( x ) , \\quad x \\in \\Omega \\triangleq ( - 1 , 1 ) , } \\\\ & { u ( - 1 ) = u ( 1 ) = 0 . } \\end{array}", + "type": "interline_equation", + "image_path": "aec70d81b39919e06ce99194be3968244b8fd1515d1a7f4ad5654fb6d74f1b6e.jpg" + } + ] + } + ], + "index": 38.5, + "virtual_lines": [ + { + "bbox": [ + 225, + 651, + 385, + 666.5 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 225, + 666.5, + 385, + 682.0 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 226, + 700 + ], + "score": 1.0, + "content": "We consider the example with", + "type": "text" + }, + { + "bbox": [ + 226, + 687, + 429, + 699 + ], + "score": 0.87, + "content": "g ( x ) = \\sin ( x ) + 4 \\sin ( 4 x ) - 8 \\sin ( 8 x ) + 1 6 \\sin ( 2 4 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "which has analytic", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 698, + 503, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 140, + 712 + ], + "score": 1.0, + "content": "solution", + "type": "text" + }, + { + "bbox": [ + 141, + 699, + 255, + 710 + ], + "score": 0.88, + "content": "u _ { \\mathrm { r e f } } ( x ) = g _ { 0 } ( x ) + c _ { 1 } x + c _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 698, + 285, + 712 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 286, + 699, + 503, + 711 + ], + "score": 0.87, + "content": "g _ { 0 } = \\sin ( x ) + \\sin ( 4 x ) / 4 - \\sin ( 8 x ) / 8 + \\sin ( 2 4 x ) / 3 6 ,", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 107, + 708, + 507, + 724 + ], + "spans": [ + { + "bbox": [ + 107, + 710, + 208, + 722 + ], + "score": 0.9, + "content": "c _ { 1 } = ( g _ { 0 } ( - 1 ) - g _ { 0 } ( 1 ) ) / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 708, + 226, + 724 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 710, + 335, + 722 + ], + "score": 0.9, + "content": "c _ { 0 } = - ( g _ { 0 } ( - 1 ) + g _ { 0 } ( 1 ) ) / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 708, + 429, + 724 + ], + "score": 1.0, + "content": ". 1001 training samples", + "type": "text" + }, + { + "bbox": [ + 429, + 710, + 462, + 722 + ], + "score": 0.88, + "content": "\\{ x _ { i } \\} _ { i = 0 } ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 708, + 507, + 724 + ], + "score": 1.0, + "content": "are evenly", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 192, + 733 + ], + "score": 1.0, + "content": "spaced with grid size", + "type": "text" + }, + { + "bbox": [ + 192, + 721, + 204, + 731 + ], + "score": 0.82, + "content": "\\delta x", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 720, + 216, + 733 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 216, + 721, + 236, + 732 + ], + "score": 0.67, + "content": "[ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 720, + 363, + 733 + ], + "score": 1.0, + "content": ". 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A", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 687, + 507, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 135, + 83, + 468, + 158 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 135, + 83, + 468, + 158 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 83, + 468, + 158 + ], + "spans": [ + { + "bbox": [ + 135, + 83, + 468, + 158 + ], + "score": 0.967, + "type": "image", + "image_path": "d241587fe6788ba5fc40badbaf0930d66b995bddd30fe42326b0cf999c5935ad.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 135, + 83, + 468, + 108.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 135, + 108.0, + 468, + 133.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 135, + 133.0, + 468, + 158.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 165, + 505, + 222 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 165, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 243, + 179 + ], + "score": 1.0, + "content": "Figure 3: Poisson’s equation. (a)", + "type": "text" + }, + { + "bbox": [ + 243, + 166, + 273, + 177 + ], + "score": 0.92, + "content": "u _ { \\mathrm { r e f } } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 165, + 304, + 179 + ], + "score": 1.0, + "content": ". Inset:", + "type": "text" + }, + { + "bbox": [ + 304, + 166, + 340, + 178 + ], + "score": 0.93, + "content": "| \\hat { u } _ { \\mathrm { r e f } } ( k ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 165, + 505, + 179 + ], + "score": 1.0, + "content": "as a function of frequency. Frequencies", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 267, + 189 + ], + "score": 1.0, + "content": "peaks are marked with black dots. (b,c)", + "type": "text" + }, + { + "bbox": [ + 268, + 177, + 297, + 189 + ], + "score": 0.92, + "content": "\\Delta _ { F } ( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "computed on the inputs of training data at different", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 186, + 506, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 372, + 202 + ], + "score": 1.0, + "content": "epochs for the selected frequencies for DNN (b) and Jacobi (c). (d)", + "type": "text" + }, + { + "bbox": [ + 372, + 188, + 425, + 200 + ], + "score": 0.92, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 186, + 506, + 202 + ], + "score": 1.0, + "content": "at different running", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 198, + 505, + 212 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 209, + 212 + ], + "score": 1.0, + "content": "time. Green stars indicate", + "type": "text" + }, + { + "bbox": [ + 210, + 199, + 262, + 210 + ], + "score": 0.93, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 198, + 438, + 212 + ], + "score": 1.0, + "content": "using DNN alone. The dashed lines indicate", + "type": "text" + }, + { + "bbox": [ + 438, + 199, + 490, + 211 + ], + "score": 0.93, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 198, + 505, + 212 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 208, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 505, + 223 + ], + "score": 1.0, + "content": "the Jacobi method with different colors indicating initialization by different timing of DNN training.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 106, + 243, + 505, + 255 + ], + "lines": [ + { + "bbox": [ + 105, + 241, + 507, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 507, + 257 + ], + "score": 1.0, + "content": "DNN-based scheme is proposed by considering the following empirical loss function (E & Yu, 2018),", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 259, + 451, + 294 + ], + "lines": [ + { + "bbox": [ + 159, + 259, + 451, + 294 + ], + "spans": [ + { + "bbox": [ + 159, + 259, + 451, + 294 + ], + "score": 0.94, + "content": "I _ { \\mathrm { e m p } } = \\sum _ { i = 1 } ^ { n - 1 } \\left( \\frac { 1 } { 2 } | \\nabla _ { x } h ( x _ { i } ) | ^ { 2 } - g ( x _ { i } ) h ( x _ { i } ) \\right) \\delta x + \\beta \\left( h ( x _ { 0 } ) ^ { 2 } + h ( x _ { n } ) ^ { 2 } \\right) .", + "type": "interline_equation", + "image_path": "bd1b5215746992a249737139e8bca8760594993b147b43c617a481678f2b85b3.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 159, + 259, + 451, + 270.6666666666667 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 159, + 270.6666666666667, + 451, + 282.33333333333337 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 159, + 282.33333333333337, + 451, + 294.00000000000006 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 298, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 105, + 298, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 191, + 313 + ], + "score": 1.0, + "content": "The second term in", + "type": "text" + }, + { + "bbox": [ + 191, + 299, + 225, + 311 + ], + "score": 0.93, + "content": "I _ { \\mathrm { e m p } } ( h )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 298, + 341, + 313 + ], + "score": 1.0, + "content": "is a penalty, with constant", + "type": "text" + }, + { + "bbox": [ + 341, + 300, + 349, + 311 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 298, + 506, + 313 + ], + "score": 1.0, + "content": ", arising from the Dirichlet boundary", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 308, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 443, + 324 + ], + "score": 1.0, + "content": "condition (7). After training, the DNN output well matches the analytical solution", + "type": "text" + }, + { + "bbox": [ + 443, + 311, + 460, + 321 + ], + "score": 0.88, + "content": "u _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 308, + 506, + 324 + ], + "score": 1.0, + "content": ". Focusing", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 434, + 334 + ], + "score": 1.0, + "content": "on the convergence of three peaks (inset of Fig. 3(a)) in the Fourier transform of", + "type": "text" + }, + { + "bbox": [ + 434, + 323, + 451, + 332 + ], + "score": 0.88, + "content": "u _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 321, + 505, + 334 + ], + "score": 1.0, + "content": ", as shown in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 332, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 506, + 345 + ], + "score": 1.0, + "content": "Fig. 3(b), low frequencies converge faster than high frequencies as predicted by the F-Principle. For", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 344, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 355 + ], + "score": 1.0, + "content": "comparison, we also use the Jacobi method to solve problem (6). High frequencies converge faster in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 353, + 426, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 426, + 367 + ], + "score": 1.0, + "content": "the Jacobi method (Details can be found in Appendix D), as shown in Fig. 3(c).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 106, + 370, + 505, + 526 + ], + "lines": [ + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "score": 1.0, + "content": "As a demonstration, we further propose that DNN can be combined with conventional numerical", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "score": 1.0, + "content": "schemes to accelerate the convergence of low frequencies for computational problems. First, we solve", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 294, + 406 + ], + "score": 1.0, + "content": "the Poisson’s equation in Eq. (6) by DNN with", + "type": "text" + }, + { + "bbox": [ + 294, + 393, + 306, + 403 + ], + "score": 0.78, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "optimization steps (or epochs), which needs to be", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "chosen carefully, to get a good initial guess in the sense that this solution has already learned the low", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "frequencies (large eigenvalues) part. Then, we use the Jacobi method with the new initial data for the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 426, + 507, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 212, + 441 + ], + "score": 1.0, + "content": "further iterations. We use", + "type": "text" + }, + { + "bbox": [ + 212, + 426, + 380, + 439 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty } \\triangleq \\operatorname* { m a x } _ { x \\in \\Omega } | h ( x ) - u _ { \\mathrm { r e f } } ( x ) | } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 426, + 507, + 441 + ], + "score": 1.0, + "content": "to quantify the learning result.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 438, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 260, + 450 + ], + "score": 1.0, + "content": "As shown by green stars in Fig. 3(d),", + "type": "text" + }, + { + "bbox": [ + 260, + 439, + 313, + 450 + ], + "score": 0.9, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 438, + 506, + 450 + ], + "score": 1.0, + "content": "fluctuates after some running time using DNN", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "only. Dashed lines indicate the evolution of the Jacobi method with initial data set to the DNN output", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 226, + 473 + ], + "score": 1.0, + "content": "at the corresponding steps. If", + "type": "text" + }, + { + "bbox": [ + 226, + 460, + 238, + 470 + ], + "score": 0.79, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "is too small (stop too early) (left dashed line), which is equivalent", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "to only using Jacobi, it would take long time to converge to a small error, because low frequencies", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 480, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 205, + 496 + ], + "score": 1.0, + "content": "converges slowly, yet. If", + "type": "text" + }, + { + "bbox": [ + 205, + 482, + 217, + 492 + ], + "score": 0.77, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 480, + 506, + 496 + ], + "score": 1.0, + "content": "is too big (stop too late) (right dashed line), which is equivalent to using", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 492, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 506 + ], + "score": 1.0, + "content": "DNN only, much time would be wasted for the slow convergence of high frequencies. A proper choice", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 118, + 517 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 504, + 130, + 514 + ], + "score": 0.82, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 503, + 505, + 517 + ], + "score": 1.0, + "content": "is indicated by the initial point of orange dashed line, in which low frequencies are quickly", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 514, + 483, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 483, + 527 + ], + "score": 1.0, + "content": "captured by the DNN, followed by fast convergence in high frequencies of the Jacobi method.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "This example illustrates a cautionary tale that, although DNNs has clear advantage, using DNNs alone", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 542, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 556 + ], + "score": 1.0, + "content": "may not be the best option because of its limitation of slow convergence at high frequencies. Taking", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 553, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 505, + 567 + ], + "score": 1.0, + "content": "advantage of both DNNs and conventional methods to design faster schemes could be a promising", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 564, + 280, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 280, + 577 + ], + "score": 1.0, + "content": "direction in scientific computing problems.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "title", + "bbox": [ + 106, + 613, + 376, + 626 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 378, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 378, + 627 + ], + "score": 1.0, + "content": "6 A PRELIMINARY THEORETICAL UNDERSTANDING", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 637, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 637, + 507, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 507, + 650 + ], + "score": 1.0, + "content": "A subsequent theoretical work (Luo et al., 2019) provides a rigorous mathematical study of the F-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "Principle at different frequencies for general DNNs (e.g., multiple hidden layers, different activation", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 660, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 506, + 673 + ], + "score": 1.0, + "content": "functions, high-dimensional inputs). The key insight is that the regularity of DNN converts into the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 670, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 506, + 684 + ], + "score": 1.0, + "content": "decay rate of a loss function in the frequency domain. For an intuitive understanding of this key", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "score": 1.0, + "content": "insight, we present theories under an idealized setting, which connect the smoothness/regularity of", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 692, + 484, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 484, + 705 + ], + "score": 1.0, + "content": "the activation function with different gradient and convergence priorities in frequency domain.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 263, + 722 + ], + "score": 1.0, + "content": "The activation function we consider is", + "type": "text" + }, + { + "bbox": [ + 264, + 710, + 330, + 722 + ], + "score": 0.92, + "content": "\\sigma ( x ) = \\operatorname { t a n h } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 709, + 505, + 722 + ], + "score": 1.0, + "content": ", which is smooth in spatial domain and its", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "derivative decays exponentially with respect to frequency in the Fourier domain. For a DNN of one", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 135, + 83, + 468, + 158 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 135, + 83, + 468, + 158 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 83, + 468, + 158 + ], + "spans": [ + { + "bbox": [ + 135, + 83, + 468, + 158 + ], + "score": 0.967, + "type": "image", + "image_path": "d241587fe6788ba5fc40badbaf0930d66b995bddd30fe42326b0cf999c5935ad.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 135, + 83, + 468, + 108.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 135, + 108.0, + 468, + 133.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 135, + 133.0, + 468, + 158.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 165, + 505, + 222 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 165, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 243, + 179 + ], + "score": 1.0, + "content": "Figure 3: Poisson’s equation. (a)", + "type": "text" + }, + { + "bbox": [ + 243, + 166, + 273, + 177 + ], + "score": 0.92, + "content": "u _ { \\mathrm { r e f } } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 165, + 304, + 179 + ], + "score": 1.0, + "content": ". Inset:", + "type": "text" + }, + { + "bbox": [ + 304, + 166, + 340, + 178 + ], + "score": 0.93, + "content": "| \\hat { u } _ { \\mathrm { r e f } } ( k ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 165, + 505, + 179 + ], + "score": 1.0, + "content": "as a function of frequency. Frequencies", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 267, + 189 + ], + "score": 1.0, + "content": "peaks are marked with black dots. (b,c)", + "type": "text" + }, + { + "bbox": [ + 268, + 177, + 297, + 189 + ], + "score": 0.92, + "content": "\\Delta _ { F } ( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "computed on the inputs of training data at different", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 186, + 506, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 372, + 202 + ], + "score": 1.0, + "content": "epochs for the selected frequencies for DNN (b) and Jacobi (c). (d)", + "type": "text" + }, + { + "bbox": [ + 372, + 188, + 425, + 200 + ], + "score": 0.92, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 186, + 506, + 202 + ], + "score": 1.0, + "content": "at different running", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 198, + 505, + 212 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 209, + 212 + ], + "score": 1.0, + "content": "time. Green stars indicate", + "type": "text" + }, + { + "bbox": [ + 210, + 199, + 262, + 210 + ], + "score": 0.93, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 198, + 438, + 212 + ], + "score": 1.0, + "content": "using DNN alone. The dashed lines indicate", + "type": "text" + }, + { + "bbox": [ + 438, + 199, + 490, + 211 + ], + "score": 0.93, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 198, + 505, + 212 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 208, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 505, + 223 + ], + "score": 1.0, + "content": "the Jacobi method with different colors indicating initialization by different timing of DNN training.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 106, + 243, + 505, + 255 + ], + "lines": [ + { + "bbox": [ + 105, + 241, + 507, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 507, + 257 + ], + "score": 1.0, + "content": "DNN-based scheme is proposed by considering the following empirical loss function (E & Yu, 2018),", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 241, + 507, + 257 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 259, + 451, + 294 + ], + "lines": [ + { + "bbox": [ + 159, + 259, + 451, + 294 + ], + "spans": [ + { + "bbox": [ + 159, + 259, + 451, + 294 + ], + "score": 0.94, + "content": "I _ { \\mathrm { e m p } } = \\sum _ { i = 1 } ^ { n - 1 } \\left( \\frac { 1 } { 2 } | \\nabla _ { x } h ( x _ { i } ) | ^ { 2 } - g ( x _ { i } ) h ( x _ { i } ) \\right) \\delta x + \\beta \\left( h ( x _ { 0 } ) ^ { 2 } + h ( x _ { n } ) ^ { 2 } \\right) .", + "type": "interline_equation", + "image_path": "bd1b5215746992a249737139e8bca8760594993b147b43c617a481678f2b85b3.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 159, + 259, + 451, + 270.6666666666667 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 159, + 270.6666666666667, + 451, + 282.33333333333337 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 159, + 282.33333333333337, + 451, + 294.00000000000006 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 298, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 105, + 298, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 191, + 313 + ], + "score": 1.0, + "content": "The second term in", + "type": "text" + }, + { + "bbox": [ + 191, + 299, + 225, + 311 + ], + "score": 0.93, + "content": "I _ { \\mathrm { e m p } } ( h )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 298, + 341, + 313 + ], + "score": 1.0, + "content": "is a penalty, with constant", + "type": "text" + }, + { + "bbox": [ + 341, + 300, + 349, + 311 + ], + "score": 0.84, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 298, + 506, + 313 + ], + "score": 1.0, + "content": ", arising from the Dirichlet boundary", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 308, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 443, + 324 + ], + "score": 1.0, + "content": "condition (7). After training, the DNN output well matches the analytical solution", + "type": "text" + }, + { + "bbox": [ + 443, + 311, + 460, + 321 + ], + "score": 0.88, + "content": "u _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 308, + 506, + 324 + ], + "score": 1.0, + "content": ". Focusing", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 434, + 334 + ], + "score": 1.0, + "content": "on the convergence of three peaks (inset of Fig. 3(a)) in the Fourier transform of", + "type": "text" + }, + { + "bbox": [ + 434, + 323, + 451, + 332 + ], + "score": 0.88, + "content": "u _ { \\mathrm { r e f } }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 321, + 505, + 334 + ], + "score": 1.0, + "content": ", as shown in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 332, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 506, + 345 + ], + "score": 1.0, + "content": "Fig. 3(b), low frequencies converge faster than high frequencies as predicted by the F-Principle. For", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 344, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 355 + ], + "score": 1.0, + "content": "comparison, we also use the Jacobi method to solve problem (6). High frequencies converge faster in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 353, + 426, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 426, + 367 + ], + "score": 1.0, + "content": "the Jacobi method (Details can be found in Appendix D), as shown in Fig. 3(c).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 298, + 506, + 367 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 370, + 505, + 526 + ], + "lines": [ + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "score": 1.0, + "content": "As a demonstration, we further propose that DNN can be combined with conventional numerical", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "score": 1.0, + "content": "schemes to accelerate the convergence of low frequencies for computational problems. First, we solve", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 294, + 406 + ], + "score": 1.0, + "content": "the Poisson’s equation in Eq. (6) by DNN with", + "type": "text" + }, + { + "bbox": [ + 294, + 393, + 306, + 403 + ], + "score": 0.78, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "optimization steps (or epochs), which needs to be", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "chosen carefully, to get a good initial guess in the sense that this solution has already learned the low", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "frequencies (large eigenvalues) part. Then, we use the Jacobi method with the new initial data for the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 426, + 507, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 212, + 441 + ], + "score": 1.0, + "content": "further iterations. We use", + "type": "text" + }, + { + "bbox": [ + 212, + 426, + 380, + 439 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty } \\triangleq \\operatorname* { m a x } _ { x \\in \\Omega } | h ( x ) - u _ { \\mathrm { r e f } } ( x ) | } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 426, + 507, + 441 + ], + "score": 1.0, + "content": "to quantify the learning result.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 438, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 260, + 450 + ], + "score": 1.0, + "content": "As shown by green stars in Fig. 3(d),", + "type": "text" + }, + { + "bbox": [ + 260, + 439, + 313, + 450 + ], + "score": 0.9, + "content": "\\| h - u _ { \\mathrm { r e f } } \\| _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 438, + 506, + 450 + ], + "score": 1.0, + "content": "fluctuates after some running time using DNN", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "only. Dashed lines indicate the evolution of the Jacobi method with initial data set to the DNN output", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 226, + 473 + ], + "score": 1.0, + "content": "at the corresponding steps. If", + "type": "text" + }, + { + "bbox": [ + 226, + 460, + 238, + 470 + ], + "score": 0.79, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "is too small (stop too early) (left dashed line), which is equivalent", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "to only using Jacobi, it would take long time to converge to a small error, because low frequencies", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 480, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 205, + 496 + ], + "score": 1.0, + "content": "converges slowly, yet. If", + "type": "text" + }, + { + "bbox": [ + 205, + 482, + 217, + 492 + ], + "score": 0.77, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 480, + 506, + 496 + ], + "score": 1.0, + "content": "is too big (stop too late) (right dashed line), which is equivalent to using", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 492, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 506 + ], + "score": 1.0, + "content": "DNN only, much time would be wasted for the slow convergence of high frequencies. A proper choice", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 118, + 517 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 504, + 130, + 514 + ], + "score": 0.82, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 503, + 505, + 517 + ], + "score": 1.0, + "content": "is indicated by the initial point of orange dashed line, in which low frequencies are quickly", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 514, + 483, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 483, + 527 + ], + "score": 1.0, + "content": "captured by the DNN, followed by fast convergence in high frequencies of the Jacobi method.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 371, + 507, + 527 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "This example illustrates a cautionary tale that, although DNNs has clear advantage, using DNNs alone", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 542, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 556 + ], + "score": 1.0, + "content": "may not be the best option because of its limitation of slow convergence at high frequencies. Taking", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 553, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 505, + 567 + ], + "score": 1.0, + "content": "advantage of both DNNs and conventional methods to design faster schemes could be a promising", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 564, + 280, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 280, + 577 + ], + "score": 1.0, + "content": "direction in scientific computing problems.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 531, + 505, + 577 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 613, + 376, + 626 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 378, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 378, + 627 + ], + "score": 1.0, + "content": "6 A PRELIMINARY THEORETICAL UNDERSTANDING", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 637, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 637, + 507, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 507, + 650 + ], + "score": 1.0, + "content": "A subsequent theoretical work (Luo et al., 2019) provides a rigorous mathematical study of the F-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "Principle at different frequencies for general DNNs (e.g., multiple hidden layers, different activation", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 660, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 506, + 673 + ], + "score": 1.0, + "content": "functions, high-dimensional inputs). The key insight is that the regularity of DNN converts into the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 670, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 506, + 684 + ], + "score": 1.0, + "content": "decay rate of a loss function in the frequency domain. For an intuitive understanding of this key", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "score": 1.0, + "content": "insight, we present theories under an idealized setting, which connect the smoothness/regularity of", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 692, + 484, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 484, + 705 + ], + "score": 1.0, + "content": "the activation function with different gradient and convergence priorities in frequency domain.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 637, + 507, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 263, + 722 + ], + "score": 1.0, + "content": "The activation function we consider is", + "type": "text" + }, + { + "bbox": [ + 264, + 710, + 330, + 722 + ], + "score": 0.92, + "content": "\\sigma ( x ) = \\operatorname { t a n h } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 709, + 505, + 722 + ], + "score": 1.0, + "content": ", which is smooth in spatial domain and its", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "derivative decays exponentially with respect to frequency in the Fourier domain. For a DNN of one", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 103, + 78, + 505, + 100 + ], + "spans": [ + { + "bbox": [ + 103, + 78, + 176, + 100 + ], + "score": 1.0, + "content": "hidden layer with", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 177, + 84, + 187, + 93 + ], + "score": 0.72, + "content": "m", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 187, + 78, + 252, + 100 + ], + "score": 1.0, + "content": "nodes, 1-d input", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 253, + 84, + 259, + 92 + ], + "score": 0.76, + "content": "x", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 260, + 78, + 322, + 100 + ], + "score": 1.0, + "content": "and 1-d output:", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 323, + 82, + 505, + 96 + ], + "score": 0.79, + "content": "\\begin{array} { r } { h ( x ) = \\sum _ { j = 1 } ^ { m } a _ { j } \\sigma ( w _ { j } x + b _ { j } ) , \\quad a _ { j } , w _ { j } , b _ { j } \\in \\sigma } \\end{array}", + "type": "inline_equation", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 109 + ], + "spans": [ + { + "bbox": [ + 106, + 96, + 115, + 105 + ], + "score": 0.74, + "content": "\\mathbb { R }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 115, + 93, + 221, + 109 + ], + "score": 1.0, + "content": ". We also use the notation", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 221, + 95, + 262, + 108 + ], + "score": 0.93, + "content": "\\theta = \\left\\{ \\theta _ { l j } \\right\\}", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 262, + 93, + 284, + 109 + ], + "score": 1.0, + "content": "with", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 284, + 95, + 321, + 108 + ], + "score": 0.89, + "content": "\\theta _ { 1 j } = a _ { j }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 321, + 93, + 325, + 109 + ], + "score": 1.0, + "content": ",", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 325, + 96, + 363, + 108 + ], + "score": 0.89, + "content": "\\theta _ { 2 j } = w _ { j }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 364, + 93, + 385, + 109 + ], + "score": 1.0, + "content": ", and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 385, + 96, + 421, + 108 + ], + "score": 0.85, + "content": "\\theta _ { 3 j } = b _ { j }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 421, + 93, + 425, + 109 + ], + "score": 1.0, + "content": ",", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 425, + 96, + 482, + 108 + ], + "score": 0.88, + "content": "j = 1 , \\cdots , m", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 483, + 93, + 505, + 109 + ], + "score": 1.0, + "content": ". The", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 108, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 104, + 110, + 177, + 127 + ], + "score": 1.0, + "content": "loss at frequency", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 178, + 113, + 185, + 123 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 185, + 110, + 195, + 127 + ], + "score": 1.0, + "content": "is", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 195, + 108, + 298, + 129 + ], + "score": 0.92, + "content": "\\begin{array} { r } { L ( k ) = \\frac { 1 } { 2 } \\left| \\hat { h } ( k ) - \\hat { f } ( k ) \\right| ^ { 2 } } \\end{array}", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 299, + 110, + 409, + 127 + ], + "score": 1.0, + "content": ", ˆ· is the Fourier transform,", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 410, + 113, + 417, + 124 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 417, + 110, + 506, + 127 + ], + "score": 1.0, + "content": "is the target function.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 102, + 124, + 510, + 155 + ], + "spans": [ + { + "bbox": [ + 102, + 124, + 253, + 155 + ], + "score": 1.0, + "content": "The total loss function is defined as: this loss function in the Fourier do", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 254, + 129, + 330, + 144 + ], + "score": 0.92, + "content": "\\begin{array} { r } { L = \\int _ { - \\infty } ^ { + \\infty } L ( k ) \\mathrm { d } k } \\end{array}", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 331, + 124, + 510, + 155 + ], + "score": 1.0, + "content": ". Note that according to Parseval’s theorem,e commonly used MSE loss. We have the", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 151, + 485, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 348, + 167 + ], + "score": 1.0, + "content": "following theorems (The proofs are at Appendix E.). Define", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 348, + 153, + 480, + 165 + ], + "score": 0.91, + "content": "W = ( w _ { 1 } , w _ { 2 } , \\cdot \\cdot \\cdot , w _ { m } ) ^ { T } \\in \\mathbb { R } ^ { m }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 481, + 151, + 485, + 167 + ], + "score": 1.0, + "content": ".", + "type": "text", + "cross_page": true + } + ], + "index": 4 + } + ], + "index": 43.5, + "bbox_fs": [ + 106, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 506, + 165 + ], + "lines": [ + { + "bbox": [ + 103, + 78, + 505, + 100 + ], + "spans": [ + { + "bbox": [ + 103, + 78, + 176, + 100 + ], + "score": 1.0, + "content": "hidden layer with", + "type": "text" + }, + { + "bbox": [ + 177, + 84, + 187, + 93 + ], + "score": 0.72, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 78, + 252, + 100 + ], + "score": 1.0, + "content": "nodes, 1-d input", + "type": "text" + }, + { + "bbox": [ + 253, + 84, + 259, + 92 + ], + "score": 0.76, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 78, + 322, + 100 + ], + "score": 1.0, + "content": "and 1-d output:", + "type": "text" + }, + { + "bbox": [ + 323, + 82, + 505, + 96 + ], + "score": 0.79, + "content": "\\begin{array} { r } { h ( x ) = \\sum _ { j = 1 } ^ { m } a _ { j } \\sigma ( w _ { j } x + b _ { j } ) , \\quad a _ { j } , w _ { j } , b _ { j } \\in \\sigma } \\end{array}", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 109 + ], + "spans": [ + { + "bbox": [ + 106, + 96, + 115, + 105 + ], + "score": 0.74, + "content": "\\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 93, + 221, + 109 + ], + "score": 1.0, + "content": ". 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The", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 108, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 104, + 110, + 177, + 127 + ], + "score": 1.0, + "content": "loss at frequency", + "type": "text" + }, + { + "bbox": [ + 178, + 113, + 185, + 123 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 110, + 195, + 127 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 195, + 108, + 298, + 129 + ], + "score": 0.92, + "content": "\\begin{array} { r } { L ( k ) = \\frac { 1 } { 2 } \\left| \\hat { h } ( k ) - \\hat { f } ( k ) \\right| ^ { 2 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 110, + 409, + 127 + ], + "score": 1.0, + "content": ", ˆ· is the Fourier transform,", + "type": "text" + }, + { + "bbox": [ + 410, + 113, + 417, + 124 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 110, + 506, + 127 + ], + "score": 1.0, + "content": "is the target function.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 102, + 124, + 510, + 155 + ], + "spans": [ + { + "bbox": [ + 102, + 124, + 253, + 155 + ], + "score": 1.0, + "content": "The total loss function is defined as: this loss function in the Fourier do", + "type": "text" + }, + { + "bbox": [ + 254, + 129, + 330, + 144 + ], + "score": 0.92, + "content": "\\begin{array} { r } { L = \\int _ { - \\infty } ^ { + \\infty } L ( k ) \\mathrm { d } k } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 124, + 510, + 155 + ], + "score": 1.0, + "content": ". 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C \\exp ( - c / \\delta ) ,", + "type": "interline_equation", + "image_path": "2567541e6634755d3664eb21283c2ed0da4a99c6acf3c897b31ee24198c9f811.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 152, + 208, + 458, + 220.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 152, + 220.0, + 458, + 232.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 152, + 232.0, + 458, + 244.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 248, + 490, + 261 + ], + "lines": [ + { + "bbox": [ + 106, + 247, + 491, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 133, + 262 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 249, + 174, + 260 + ], + "score": 0.92, + "content": "B _ { \\delta } \\subset \\mathbb { R } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 247, + 257, + 262 + ], + "score": 1.0, + "content": "is a ball with radius", + "type": "text" + }, + { + "bbox": [ + 258, + 250, + 264, + 259 + ], + "score": 0.46, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 247, + 370, + 262 + ], + "score": 1.0, + "content": "centered at the origin and", + "type": "text" + }, + { + "bbox": [ + 371, + 249, + 388, + 261 + ], + "score": 0.91, + "content": "\\mu ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 247, + 491, + 262 + ], + "score": 1.0, + "content": "is the Lebesgue measure.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 269, + 505, + 326 + ], + "lines": [ + { + "bbox": [ + 105, + 269, + 507, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 507, + 283 + ], + "score": 1.0, + "content": "Theorem 1 indicates that for any two non-converged frequencies, with small weights, the lower-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 281, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 281, + 506, + 294 + ], + "score": 1.0, + "content": "frequency gradient exponentially dominates over the higher-frequency ones. 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Considering a DNN of one hidden layer with activation function", + "type": "text" + }, + { + "bbox": [ + 433, + 329, + 502, + 341 + ], + "score": 0.88, + "content": "\\sigma ( x ) = \\operatorname { t a n h } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 328, + 506, + 342 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 341, + 507, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 370, + 354 + ], + "score": 1.0, + "content": "Suppose the target function has only two non-zero frequencies", + "type": "text" + }, + { + "bbox": [ + 370, + 342, + 381, + 353 + ], + "score": 0.87, + "content": "k _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 341, + 402, + 354 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 402, + 342, + 413, + 353 + ], + "score": 0.85, + "content": "k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 341, + 451, + 354 + ], + "score": 1.0, + "content": ", that is,", + "type": "text" + }, + { + "bbox": [ + 451, + 341, + 503, + 354 + ], + "score": 0.91, + "content": "| { \\hat { f } } ( k _ { 1 } ) | > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 341, + 507, + 354 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 353, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 107, + 353, + 159, + 366 + ], + "score": 0.81, + "content": "| \\hat { f } ( k _ { 2 } ) | > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 354, + 164, + 368 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 164, + 354, + 235, + 367 + ], + "score": 0.8, + "content": "| k _ { 2 } | > | k _ { 1 } | > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 354, + 259, + 368 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 260, + 353, + 308, + 367 + ], + "score": 0.91, + "content": "| { \\hat { f } } ( k ) | = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 354, + 325, + 368 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 325, + 354, + 373, + 367 + ], + "score": 0.88, + "content": "\\boldsymbol { k } \\neq k _ { 1 } , k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 354, + 506, + 368 + ], + "score": 1.0, + "content": ". 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Understanding the differences between above two types of problems, i.e., good and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "bad generalization performance of DNN, is critical. In the following, we show a qualitative difference", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 401, + 586 + ], + "score": 1.0, + "content": "between these two types of problems through Fourier analysis and use the", + "type": "text" + }, + { + "bbox": [ + 402, + 574, + 410, + 583 + ], + "score": 0.68, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 573, + 505, + 586 + ], + "score": 1.0, + "content": "-Principle to provide an", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 584, + 349, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 349, + 596 + ], + "score": 1.0, + "content": "explanation different generalization performances of DNNs.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 106, + 601, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 268, + 616 + ], + "score": 1.0, + "content": "For MNIST/CIFAR10, we examine", + "type": "text" + }, + { + "bbox": [ + 269, + 601, + 470, + 617 + ], + "score": 0.9, + "content": "\\begin{array} { r l r } { \\hat { y } _ { \\mathrm { t o t a l } , k } } & { = } & { \\frac { 1 } { n _ { \\mathrm { t o t a l } } } \\sum _ { i = 0 } ^ { n _ { \\mathrm { t o t a l } } - 1 } y _ { i } \\exp \\left( - \\mathrm { i } 2 \\pi \\pmb { k } \\cdot \\pmb { x } _ { i } \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 600, + 505, + 615 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 612, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 107, + 616, + 178, + 630 + ], + "score": 0.92, + "content": "\\{ ( { \\pmb x } _ { i } , y _ { i } ) \\} _ { i = 0 } ^ { n _ { \\mathrm { t o t a l } } - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 612, + 506, + 635 + ], + "score": 1.0, + "content": "consists of both the training and test datasets with certain selected output com-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 627, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 241, + 642 + ], + "score": 1.0, + "content": "ponent, at different directions of", + "type": "text" + }, + { + "bbox": [ + 250, + 627, + 391, + 642 + ], + "score": 1.0, + "content": "in the Fourier space. We find that", + "type": "text" + }, + { + "bbox": [ + 392, + 628, + 422, + 640 + ], + "score": 0.92, + "content": "\\hat { y } _ { \\mathrm { t o t a l } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 627, + 506, + 642 + ], + "score": 1.0, + "content": "concentrates on the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 639, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 371, + 652 + ], + "score": 1.0, + "content": "low frequencies along those examined directions. For illustration,", + "type": "text" + }, + { + "bbox": [ + 371, + 640, + 401, + 651 + ], + "score": 0.91, + "content": "\\hat { y } _ { \\mathrm { t o t a l } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 639, + 505, + 652 + ], + "score": 1.0, + "content": "’s along the first principle", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "score": 1.0, + "content": "component are shown by green lines in Fig. 4(a, b) for MNIST/CIFAR10, respectively. When only", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 660, + 489, + 674 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 217, + 674 + ], + "score": 1.0, + "content": "the training dataset is used,", + "type": "text" + }, + { + "bbox": [ + 217, + 661, + 248, + 673 + ], + "score": 0.92, + "content": "\\hat { y } _ { \\mathrm { t r a i n } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 660, + 325, + 674 + ], + "score": 1.0, + "content": "well overlaps with", + "type": "text" + }, + { + "bbox": [ + 325, + 662, + 355, + 673 + ], + "score": 0.92, + "content": "\\hat { y } _ { \\mathrm { t o t a l } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 660, + 489, + 674 + ], + "score": 1.0, + "content": "at the dominant low frequencies.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 106, + 678, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 104, + 677, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 104, + 677, + 199, + 695 + ], + "score": 1.0, + "content": "For the parity function", + "type": "text" + }, + { + "bbox": [ + 200, + 678, + 269, + 694 + ], + "score": 0.93, + "content": "\\begin{array} { r } { f ( \\pmb { x } ) = \\prod _ { j = 1 } ^ { d } x _ { j } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 677, + 315, + 695 + ], + "score": 1.0, + "content": "defined on", + "type": "text" + }, + { + "bbox": [ + 316, + 680, + 374, + 693 + ], + "score": 0.94, + "content": "\\Omega = \\{ - 1 , 1 \\} ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 677, + 472, + 695 + ], + "score": 1.0, + "content": ", its Fourier transform is", + "type": "text" + }, + { + "bbox": [ + 472, + 678, + 506, + 693 + ], + "score": 0.92, + "content": "{ \\hat { f } } ( \\pmb { k } ) =", + "type": "inline_equation" + } + ], + "index": 39 + }, + { + "bbox": [ + 107, + 690, + 508, + 712 + ], + "spans": [ + { + "bbox": [ + 107, + 694, + 317, + 709 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\frac { 1 } { 2 ^ { d } } \\sum _ { x \\in \\Omega } \\prod _ { j = 1 } ^ { d } x _ { j } \\mathrm { e } ^ { - \\mathrm { i } 2 \\pi k \\cdot x } = ( - \\mathrm { i } ) ^ { d } \\prod _ { j = 1 } ^ { d } \\sin 2 \\pi k _ { j } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 690, + 374, + 712 + ], + "score": 1.0, + "content": ". 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Considering a DNN of one hidden layer with activation function", + "type": "text" + }, + { + "bbox": [ + 420, + 168, + 487, + 180 + ], + "score": 0.92, + "content": "\\sigma ( x ) = \\operatorname { t a n h } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 167, + 506, + 181 + ], + "score": 1.0, + "content": ", for", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 180, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 173, + 194 + ], + "score": 1.0, + "content": "any frequencies", + "type": "text" + }, + { + "bbox": [ + 174, + 181, + 185, + 192 + ], + "score": 0.87, + "content": "k _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 180, + 205, + 194 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 205, + 181, + 216, + 192 + ], + "score": 0.87, + "content": "k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 180, + 258, + 194 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 259, + 180, + 309, + 193 + ], + "score": 0.85, + "content": "| { \\hat { f } } ( k _ { 1 } ) | > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 180, + 314, + 194 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 314, + 180, + 365, + 193 + ], + "score": 0.89, + "content": "| { \\hat { f } } ( k _ { 2 } ) | > 0 ;", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 180, + 388, + 194 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 388, + 181, + 456, + 193 + ], + "score": 0.92, + "content": "| k _ { 2 } | > | k _ { 1 } | > 0 ;", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 180, + 506, + 194 + ], + "score": 1.0, + "content": ", there exist", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 192, + 382, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 204, + 205 + ], + "score": 1.0, + "content": "positive constants c and", + "type": "text" + }, + { + "bbox": [ + 205, + 193, + 213, + 202 + ], + "score": 0.81, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 192, + 337, + 205 + ], + "score": 1.0, + "content": "such that for sufficiently small", + "type": "text" + }, + { + "bbox": [ + 337, + 194, + 343, + 202 + ], + "score": 0.78, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 192, + 382, + 205 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 167, + 506, + 205 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 152, + 208, + 458, + 244 + ], + "lines": [ + { + "bbox": [ + 152, + 208, + 458, + 244 + ], + "spans": [ + { + "bbox": [ + 152, + 208, + 458, + 244 + ], + "score": 0.93, + "content": "\\frac { \\mu ( \\{ W : | \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } | > | \\frac { \\partial L ( k _ { 2 } ) } { \\partial \\theta _ { l j } } | f o r a l l \\quad l , j \\} \\cap B _ { \\delta } ) } { \\mu ( B _ { \\delta } ) } \\geq 1 - C \\exp ( - c / \\delta ) ,", + "type": "interline_equation", + "image_path": "2567541e6634755d3664eb21283c2ed0da4a99c6acf3c897b31ee24198c9f811.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 152, + 208, + 458, + 220.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 152, + 220.0, + 458, + 232.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 152, + 232.0, + 458, + 244.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 248, + 490, + 261 + ], + "lines": [ + { + "bbox": [ + 106, + 247, + 491, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 133, + 262 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 249, + 174, + 260 + ], + "score": 0.92, + "content": "B _ { \\delta } \\subset \\mathbb { R } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 247, + 257, + 262 + ], + "score": 1.0, + "content": "is a ball with radius", + "type": "text" + }, + { + "bbox": [ + 258, + 250, + 264, + 259 + ], + "score": 0.46, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 247, + 370, + 262 + ], + "score": 1.0, + "content": "centered at the origin and", + "type": "text" + }, + { + "bbox": [ + 371, + 249, + 388, + 261 + ], + "score": 0.91, + "content": "\\mu ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 247, + 491, + 262 + ], + "score": 1.0, + "content": "is the Lebesgue measure.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11, + "bbox_fs": [ + 106, + 247, + 491, + 262 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 269, + 505, + 326 + ], + "lines": [ + { + "bbox": [ + 105, + 269, + 507, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 507, + 283 + ], + "score": 1.0, + "content": "Theorem 1 indicates that for any two non-converged frequencies, with small weights, the lower-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 281, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 281, + 506, + 294 + ], + "score": 1.0, + "content": "frequency gradient exponentially dominates over the higher-frequency ones. Due to Parseval’s", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 292, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 505, + 304 + ], + "score": 1.0, + "content": "theorem, the MSE loss in the spatial domain is equivalent to the L2 loss in the Fourier domain. To", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "intuitively understand the higher decay rate of a lower-frequency loss function, we consider the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 314, + 439, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 314, + 439, + 326 + ], + "score": 1.0, + "content": "training in the Fourier domain with loss function of only two non-zero frequencies.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 269, + 507, + 326 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 329, + 506, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 328, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 433, + 342 + ], + "score": 1.0, + "content": "Theorem 2. Considering a DNN of one hidden layer with activation function", + "type": "text" + }, + { + "bbox": [ + 433, + 329, + 502, + 341 + ], + "score": 0.88, + "content": "\\sigma ( x ) = \\operatorname { t a n h } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 328, + 506, + 342 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 341, + 507, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 370, + 354 + ], + "score": 1.0, + "content": "Suppose the target function has only two non-zero frequencies", + "type": "text" + }, + { + "bbox": [ + 370, + 342, + 381, + 353 + ], + "score": 0.87, + "content": "k _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 341, + 402, + 354 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 402, + 342, + 413, + 353 + ], + "score": 0.85, + "content": "k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 341, + 451, + 354 + ], + "score": 1.0, + "content": ", that is,", + "type": "text" + }, + { + "bbox": [ + 451, + 341, + 503, + 354 + ], + "score": 0.91, + "content": "| { \\hat { f } } ( k _ { 1 } ) | > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 341, + 507, + 354 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 353, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 107, + 353, + 159, + 366 + ], + "score": 0.81, + "content": "| \\hat { f } ( k _ { 2 } ) | > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 354, + 164, + 368 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 164, + 354, + 235, + 367 + ], + "score": 0.8, + "content": "| k _ { 2 } | > | k _ { 1 } | > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 354, + 259, + 368 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 260, + 353, + 308, + 367 + ], + "score": 0.91, + "content": "| { \\hat { f } } ( k ) | = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 354, + 325, + 368 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 325, + 354, + 373, + 367 + ], + "score": 0.88, + "content": "\\boldsymbol { k } \\neq k _ { 1 } , k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 354, + 506, + 368 + ], + "score": 1.0, + "content": ". Consider the loss function of", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 366, + 347, + 378 + ], + "spans": [ + { + "bbox": [ + 107, + 367, + 188, + 378 + ], + "score": 0.89, + "content": "L = L ( k _ { 1 } ) + L ( k _ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 366, + 347, + 378 + ], + "score": 1.0, + "content": "with gradient descent training. Denote", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 328, + 507, + 378 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 383, + 392, + 410 + ], + "lines": [ + { + "bbox": [ + 217, + 383, + 392, + 410 + ], + "spans": [ + { + "bbox": [ + 217, + 383, + 392, + 410 + ], + "score": 0.93, + "content": "\\mathcal { S } = \\left\\{ \\frac { \\partial L ( k _ { 1 } ) } { \\partial t } \\leq 0 , \\frac { \\partial L ( k _ { 1 } ) } { \\partial t } \\leq \\frac { \\partial L ( k _ { 2 } ) } { \\partial t } \\right\\} ,", + "type": "interline_equation", + "image_path": "ae5d50dd7a78f0a75cf84245139cf484676920f31162f21a99160a37dea9d02a.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 217, + 383, + 392, + 410 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 416, + 504, + 438 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 138, + 429 + ], + "score": 1.0, + "content": "that is,", + "type": "text" + }, + { + "bbox": [ + 138, + 416, + 163, + 428 + ], + "score": 0.91, + "content": "L ( k _ { 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 415, + 256, + 429 + ], + "score": 1.0, + "content": "decreases faster than", + "type": "text" + }, + { + "bbox": [ + 257, + 416, + 281, + 428 + ], + "score": 0.93, + "content": "L ( k _ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 415, + 439, + 429 + ], + "score": 1.0, + "content": ". There exist positive constants c and", + "type": "text" + }, + { + "bbox": [ + 439, + 417, + 448, + 426 + ], + "score": 0.83, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 415, + 506, + 429 + ], + "score": 1.0, + "content": "such that for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 426, + 221, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 176, + 439 + ], + "score": 1.0, + "content": "sufficiently small", + "type": "text" + }, + { + "bbox": [ + 176, + 428, + 182, + 437 + ], + "score": 0.76, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 426, + 221, + 439 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 415, + 506, + 439 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 206, + 443, + 404, + 471 + ], + "lines": [ + { + "bbox": [ + 206, + 443, + 404, + 471 + ], + "spans": [ + { + "bbox": [ + 206, + 443, + 404, + 471 + ], + "score": 0.92, + "content": "\\frac { \\mu \\left( \\left\\{ W : { \\cal S } \\mathrm { ~ \\ h o l d s } \\right\\} \\cap { \\cal B } _ { \\delta } \\right) } { \\mu ( { \\cal B } _ { \\delta } ) } \\geq 1 - C \\exp ( - c / \\delta ) ,", + "type": "interline_equation", + "image_path": "f04a96a0a235e16fa1f183cdb17891db1f29299d693170d41346e3e4f1fa97f9.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 206, + 443, + 404, + 471 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 476, + 490, + 488 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 491, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 133, + 490 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 477, + 174, + 487 + ], + "score": 0.91, + "content": "B _ { \\delta } \\subset \\mathbb { R } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 474, + 257, + 490 + ], + "score": 1.0, + "content": "is a ball with radius", + "type": "text" + }, + { + "bbox": [ + 258, + 477, + 264, + 486 + ], + "score": 0.73, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 474, + 370, + 490 + ], + "score": 1.0, + "content": "centered at the origin and", + "type": "text" + }, + { + "bbox": [ + 371, + 476, + 388, + 488 + ], + "score": 0.9, + "content": "\\mu ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 474, + 491, + 490 + ], + "score": 1.0, + "content": "is the Lebesgue measure.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 106, + 474, + 491, + 490 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 504, + 196, + 517 + ], + "lines": [ + { + "bbox": [ + 105, + 503, + 198, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 198, + 519 + ], + "score": 1.0, + "content": "7 DISCUSSIONS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 104, + 527, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 104, + 527, + 506, + 543 + ], + "score": 1.0, + "content": "DNNs often generalize well for real problems (Zhang et al., 2016) but poorly for problems like fitting", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 539, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 104, + 539, + 506, + 554 + ], + "score": 1.0, + "content": "a parity function (Shalev-Shwartz et al., 2017; Nye & Saxe, 2018) despite excellent training accuracy", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 550, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 564 + ], + "score": 1.0, + "content": "for all problems. Understanding the differences between above two types of problems, i.e., good and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "bad generalization performance of DNN, is critical. In the following, we show a qualitative difference", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 401, + 586 + ], + "score": 1.0, + "content": "between these two types of problems through Fourier analysis and use the", + "type": "text" + }, + { + "bbox": [ + 402, + 574, + 410, + 583 + ], + "score": 0.68, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 573, + 505, + 586 + ], + "score": 1.0, + "content": "-Principle to provide an", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 584, + 349, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 349, + 596 + ], + "score": 1.0, + "content": "explanation different generalization performances of DNNs.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 104, + 527, + 506, + 596 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 601, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 268, + 616 + ], + "score": 1.0, + "content": "For MNIST/CIFAR10, we examine", + "type": "text" + }, + { + "bbox": [ + 269, + 601, + 470, + 617 + ], + "score": 0.9, + "content": "\\begin{array} { r l r } { \\hat { y } _ { \\mathrm { t o t a l } , k } } & { = } & { \\frac { 1 } { n _ { \\mathrm { t o t a l } } } \\sum _ { i = 0 } ^ { n _ { \\mathrm { t o t a l } } - 1 } y _ { i } \\exp \\left( - \\mathrm { i } 2 \\pi \\pmb { k } \\cdot \\pmb { x } _ { i } \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 600, + 505, + 615 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 612, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 107, + 616, + 178, + 630 + ], + "score": 0.92, + "content": "\\{ ( { \\pmb x } _ { i } , y _ { i } ) \\} _ { i = 0 } ^ { n _ { \\mathrm { t o t a l } } - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 612, + 506, + 635 + ], + "score": 1.0, + "content": "consists of both the training and test datasets with certain selected output com-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 627, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 241, + 642 + ], + "score": 1.0, + "content": "ponent, at different directions of", + "type": "text" + }, + { + "bbox": [ + 250, + 627, + 391, + 642 + ], + "score": 1.0, + "content": "in the Fourier space. We find that", + "type": "text" + }, + { + "bbox": [ + 392, + 628, + 422, + 640 + ], + "score": 0.92, + "content": "\\hat { y } _ { \\mathrm { t o t a l } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 627, + 506, + 642 + ], + "score": 1.0, + "content": "concentrates on the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 639, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 371, + 652 + ], + "score": 1.0, + "content": "low frequencies along those examined directions. For illustration,", + "type": "text" + }, + { + "bbox": [ + 371, + 640, + 401, + 651 + ], + "score": 0.91, + "content": "\\hat { y } _ { \\mathrm { t o t a l } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 639, + 505, + 652 + ], + "score": 1.0, + "content": "’s along the first principle", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "score": 1.0, + "content": "component are shown by green lines in Fig. 4(a, b) for MNIST/CIFAR10, respectively. When only", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 660, + 489, + 674 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 217, + 674 + ], + "score": 1.0, + "content": "the training dataset is used,", + "type": "text" + }, + { + "bbox": [ + 217, + 661, + 248, + 673 + ], + "score": 0.92, + "content": "\\hat { y } _ { \\mathrm { t r a i n } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 660, + 325, + 674 + ], + "score": 1.0, + "content": "well overlaps with", + "type": "text" + }, + { + "bbox": [ + 325, + 662, + 355, + 673 + ], + "score": 0.92, + "content": "\\hat { y } _ { \\mathrm { t o t a l } , k }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 660, + 489, + 674 + ], + "score": 1.0, + "content": "at the dominant low frequencies.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 600, + 506, + 674 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 678, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 104, + 677, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 104, + 677, + 199, + 695 + ], + "score": 1.0, + "content": "For the parity function", + "type": "text" + }, + { + "bbox": [ + 200, + 678, + 269, + 694 + ], + "score": 0.93, + "content": "\\begin{array} { r } { f ( \\pmb { x } ) = \\prod _ { j = 1 } ^ { d } x _ { j } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 677, + 315, + 695 + ], + "score": 1.0, + "content": "defined on", + "type": "text" + }, + { + "bbox": [ + 316, + 680, + 374, + 693 + ], + "score": 0.94, + "content": "\\Omega = \\{ - 1 , 1 \\} ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 677, + 472, + 695 + ], + "score": 1.0, + "content": ", its Fourier transform is", + "type": "text" + }, + { + "bbox": [ + 472, + 678, + 506, + 693 + ], + "score": 0.92, + "content": "{ \\hat { f } } ( \\pmb { k } ) =", + "type": "inline_equation" + } + ], + "index": 39 + }, + { + "bbox": [ + 107, + 690, + 508, + 712 + ], + "spans": [ + { + "bbox": [ + 107, + 694, + 317, + 709 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\frac { 1 } { 2 ^ { d } } \\sum _ { x \\in \\Omega } \\prod _ { j = 1 } ^ { d } x _ { j } \\mathrm { e } ^ { - \\mathrm { i } 2 \\pi k \\cdot x } = ( - \\mathrm { i } ) ^ { d } \\prod _ { j = 1 } ^ { d } \\sin 2 \\pi k _ { j } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 690, + 374, + 712 + ], + "score": 1.0, + "content": ". 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We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 605, + 480, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 480, + 617 + ], + "score": 1.0, + "content": "propose that the Fourier analysis can provide insights into both success and failure of DNNs.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "score": 1.0, + "content": "F-Principle was first discovered in (Xu et al., 2018; Rahaman et al., 2018) simultaneously through", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "simple synthetic data and not very deep networks. In the revised version, Rahaman et al. 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For", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 270, + 506, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 506, + 283 + ], + "score": 1.0, + "content": "the MNIST/CIFAR10, we observed the Fourier transform of the output of a well-trained DNN on", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 276, + 510, + 308 + ], + "spans": [ + { + "bbox": [ + 107, + 282, + 158, + 296 + ], + "score": 0.93, + "content": "\\{ \\pmb { x } _ { i } \\} _ { i = 0 } ^ { n _ { \\mathrm { t o t a l } } - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 276, + 510, + 308 + ], + "score": 1.0, + "content": "faithfully recovers the dominant low frequencies, as illustrated in Fig. 4(a) and 4(b), indicating a good generalization performance as observed in experiments. However,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "for the parity function, we observed that the Fourier transform of the output of a well-trained DNN", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 316, + 507, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 120, + 331 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 120, + 317, + 155, + 330 + ], + "score": 0.93, + "content": "\\{ { \\pmb x } _ { i } \\} _ { i \\in S }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 317, + 269, + 331 + ], + "score": 1.0, + "content": "significantly deviates from", + "type": "text" + }, + { + "bbox": [ + 269, + 316, + 290, + 330 + ], + "score": 0.93, + "content": "{ \\hat { f } } ( \\pmb { k } )", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 317, + 507, + 331 + ], + "score": 1.0, + "content": "at almost all frequencies, as illustrated in Fig. 4(c),", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 329, + 397, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 397, + 342 + ], + "score": 1.0, + "content": "indicating a bad generalization performance as observed in experiments.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 259, + 510, + 342 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 505, + 466 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "The F-Principle implicates that among all the functions that can fit the training data, a DNN is", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 357, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 506, + 369 + ], + "score": 1.0, + "content": "implicitly biased during the training towards a function with more power at low frequencies. If", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "score": 1.0, + "content": "the target function has significant high-frequency components, insufficient training samples will", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "score": 1.0, + "content": "lead to artificial low frequencies in training dataset (see red line in Fig. 4(c)), which is the well-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "known aliasing effect. Based on the F-Principle, as demonstrated in Fig. 4(c), these artificial low", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 400, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 505, + 414 + ], + "score": 1.0, + "content": "frequency components will be first captured to explain the training samples, whereas the high", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 411, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 425 + ], + "score": 1.0, + "content": "frequency components will be compromised by DNN. For MNIST/CIFAR10, since the power of high", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 436 + ], + "score": 1.0, + "content": "frequencies is much smaller than that of low frequencies, artificial low frequencies caused by aliasing", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "can be neglected. To conclude, the distribution of power in Fourier domain of above two types of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 444, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 457 + ], + "score": 1.0, + "content": "problems exhibits significant differences, which result in different generalization performances of", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 455, + 250, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 250, + 468 + ], + "score": 1.0, + "content": "DNNs according to the F-Principle.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 345, + 506, + 468 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 503, + 209, + 516 + ], + "lines": [ + { + "bbox": [ + 105, + 502, + 210, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 210, + 518 + ], + "score": 1.0, + "content": "8 RELATED WORK", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 528, + 506, + 617 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 507, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 507, + 541 + ], + "score": 1.0, + "content": "There are different approaches attempting to explain why DNNs often generalize well. For example,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 539, + 507, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 507, + 552 + ], + "score": 1.0, + "content": "generalization error is related to various complexity measures (Bartlett et al., 1999; Neyshabur et al.,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 549, + 507, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 507, + 563 + ], + "score": 1.0, + "content": "2017; E et al., 2018), local properties (sharpness/flatness) of loss functions at minima (Keskar et al.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "2016; Wu et al., 2017), stability of optimization algorithms (Hardt et al., 2015), and implicit bias", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 572, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 584 + ], + "score": 1.0, + "content": "of the training process (Soudry et al., 2018; Arpit et al., 2017; Xu et al., 2018). On the other hand,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 581, + 507, + 597 + ], + "spans": [ + { + "bbox": [ + 104, + 581, + 507, + 597 + ], + "score": 1.0, + "content": "several works focus on the failure of DNNs (Shalev-Shwartz et al., 2017; Nye & Saxe, 2018), e.g.,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "fitting the parity function, in which a well-trained DNN possesses no generalization ability. We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 605, + 480, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 480, + 617 + ], + "score": 1.0, + "content": "propose that the Fourier analysis can provide insights into both success and failure of DNNs.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32.5, + "bbox_fs": [ + 104, + 527, + 507, + 617 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "score": 1.0, + "content": "F-Principle was first discovered in (Xu et al., 2018; Rahaman et al., 2018) simultaneously through", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "simple synthetic data and not very deep networks. In the revised version, Rahaman et al. 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This paper verified", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "that F-Principle holds in the training process of MNIST and CIFAR10, both CNN and fully connected", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 686, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 505, + 702 + ], + "score": 1.0, + "content": "networks, very deep networks (VGG16) and various loss functions, e.g., MSE Loss, cross-entropy", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "loss and variational loss function. 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(2019) and Cai & Xu (2019) design DNN-based algorithms to solve high-dimensional and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 126, + 212, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 212, + 140 + ], + "score": 1.0, + "content": "high-frequency problems.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 107, + 155, + 175, + 167 + ], + "lines": [ + { + "bbox": [ + 106, + 155, + 176, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 155, + 176, + 168 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 108, + 173, + 504, + 207 + ], + "lines": [ + { + "bbox": [ + 106, + 173, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 173, + 505, + 185 + ], + "score": 1.0, + "content": "Devansh Arpit, Stanislaw Jastrzebski, Nicolas Ballas, David Krueger, Emmanuel Bengio, Maxinder S", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 116, + 184, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 116, + 184, + 506, + 196 + ], + "score": 1.0, + "content": "Kanwal, Tegan Maharaj, Asja Fischer, Aaron Courville, Yoshua Bengio, et al. 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Therefore, we propose the projection approach, i.e., fixing", + "type": "text" + }, + { + "bbox": [ + 408, + 255, + 415, + 264 + ], + "score": 0.74, + "content": "\\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "at a specific direction", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 265, + 385, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 385, + 278 + ], + "score": 1.0, + "content": "and the filtering approach as detailed in Section 3 and 4, respectively.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 108, + 293, + 425, + 306 + ], + "lines": [ + { + "bbox": [ + 104, + 292, + 428, + 308 + ], + "spans": [ + { + "bbox": [ + 104, + 292, + 428, + 308 + ], + "score": 1.0, + "content": "B ILLUSTRATION OF F-PRINCIPLE FOR 1-D SYNTHETIC DATA", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "To illustrate the phenomenon of F-Principle, we use 1-d synthetic data to show the evolution of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "relative training error at different frequencies during the training of DNN. we train a DNN to fit a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 181, + 353 + ], + "score": 1.0, + "content": "1-d target function", + "type": "text" + }, + { + "bbox": [ + 182, + 340, + 327, + 353 + ], + "score": 0.92, + "content": "f ( x ) = \\sin ( x ) + \\sin ( 3 x ) + \\sin ( 5 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 340, + 469, + 353 + ], + "score": 1.0, + "content": "of three frequency components. On", + "type": "text" + }, + { + "bbox": [ + 469, + 341, + 505, + 351 + ], + "score": 0.89, + "content": "n = 2 0 1", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 351, + 507, + 368 + ], + "spans": [ + { + "bbox": [ + 104, + 351, + 252, + 368 + ], + "score": 1.0, + "content": "evenly spaced training samples, i.e.,", + "type": "text" + }, + { + "bbox": [ + 252, + 353, + 287, + 365 + ], + "score": 0.92, + "content": "\\{ x _ { i } \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 351, + 299, + 368 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 300, + 353, + 353, + 365 + ], + "score": 0.58, + "content": "[ - 3 . 1 4 , 3 . 1 4 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 351, + 507, + 368 + ], + "score": 1.0, + "content": ", the discrete Fourier transform (DFT)", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 101, + 362, + 509, + 384 + ], + "spans": [ + { + "bbox": [ + 101, + 362, + 118, + 384 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 366, + 138, + 378 + ], + "score": 0.91, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 362, + 271, + 384 + ], + "score": 1.0, + "content": "or the DNN output (denoted by", + "type": "text" + }, + { + "bbox": [ + 272, + 366, + 293, + 378 + ], + "score": 0.85, + "content": "h ( x ) _ { , } ^ { \\cdot }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 362, + 362, + 384 + ], + "score": 1.0, + "content": ") is computed by", + "type": "text" + }, + { + "bbox": [ + 363, + 364, + 486, + 380 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\hat { f } _ { k } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { n - 1 } f ( x _ { i } ) \\mathrm { e } ^ { - \\mathrm { i } 2 \\pi i k / n } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 362, + 509, + 384 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 373, + 509, + 398 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 230, + 394 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\hat { h } _ { k } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { n - 1 } h ( x _ { i } ) \\mathrm { e } ^ { - \\mathrm { i } 2 \\pi j k / n } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 373, + 261, + 398 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 261, + 380, + 268, + 390 + ], + "score": 0.82, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 373, + 509, + 398 + ], + "score": 1.0, + "content": "is the frequency. As shown in Fig. 5(a), the target function", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "score": 1.0, + "content": "has three important frequencies as we design (black dots at the inset in Fig. 5(a)). To examine the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "convergence behavior of different frequency components during the training with MSE, we compute", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "score": 1.0, + "content": "the relative difference between the DNN output and the target function for the three important", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 424, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 154, + 439 + ], + "score": 1.0, + "content": "frequencies", + "type": "text" + }, + { + "bbox": [ + 154, + 426, + 161, + 436 + ], + "score": 0.77, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 426, + 288, + 439 + ], + "score": 1.0, + "content": "’s at each recording step, that is,", + "type": "text" + }, + { + "bbox": [ + 289, + 424, + 389, + 438 + ], + "score": 0.92, + "content": "\\bar { \\Delta } _ { F } ( k ) = { | \\hat { h } _ { k } - \\hat { f } _ { k } | } / { | \\hat { f } _ { k } | }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 426, + 420, + 439 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 420, + 425, + 434, + 438 + ], + "score": 0.74, + "content": "| \\cdot |", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "denotes the norm", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "of a complex number. As shown in Fig. 5(b), the DNN converges the first frequency peak very fast,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 448, + 493, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 493, + 461 + ], + "score": 1.0, + "content": "while converging the second frequency peak much slower, followed by the third frequency peak.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 477 + ], + "score": 1.0, + "content": "Next, we investigate the F-Principle on real datasets with more general loss functions other than MSE", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 330, + 487 + ], + "score": 1.0, + "content": "which was the only loss studied in the previous works (", + "type": "text" + }, + { + "bbox": [ + 330, + 476, + 344, + 486 + ], + "score": 0.26, + "content": "\\mathrm { { X u } }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "et al., 2018; Rahaman et al., 2018). All", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 487, + 310, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 310, + 498 + ], + "score": 1.0, + "content": "experimental details can be found in Appendix. C.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 108, + 536, + 263, + 548 + ], + "lines": [ + { + "bbox": [ + 106, + 535, + 263, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 263, + 550 + ], + "score": 1.0, + "content": "C EXPERIMENTAL SETTINGS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "In Fig. 5, the parameters of the DNN is initialized by a Gaussian distribution with mean 0 and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 572, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 584 + ], + "score": 1.0, + "content": "standard deviation 0.1. We use a tanh-DNN with widths 1-8000-1 with full batch training. 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For CIFAR10 dataset, results are shown in Fig. 1(c) and 1(d) of a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 337, + 645 + ], + "score": 1.0, + "content": "ReLU-CNN, which consists of one convolution layer of", + "type": "text" + }, + { + "bbox": [ + 338, + 633, + 384, + 644 + ], + "score": 0.91, + "content": "3 \\times 3 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 632, + 460, + 645 + ], + "score": 1.0, + "content": ", a max pooling of", + "type": "text" + }, + { + "bbox": [ + 460, + 633, + 484, + 644 + ], + "score": 0.89, + "content": "2 \\times 2", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 632, + 505, + 645 + ], + "score": 1.0, + "content": ", one", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 193, + 656 + ], + "score": 1.0, + "content": "convolution layer of", + "type": "text" + }, + { + "bbox": [ + 193, + 644, + 245, + 654 + ], + "score": 0.9, + "content": "3 \\times 3 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 644, + 324, + 656 + ], + "score": 1.0, + "content": ", a max pooling of", + "type": "text" + }, + { + "bbox": [ + 325, + 644, + 349, + 654 + ], + "score": 0.89, + "content": "2 \\times 2", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 644, + 505, + 656 + ], + "score": 1.0, + "content": ", followed by a fully-connected DNN", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "with widths 800-400-400-400-10. 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Therefore, we propose the projection approach, i.e., fixing", + "type": "text" + }, + { + "bbox": [ + 408, + 255, + 415, + 264 + ], + "score": 0.74, + "content": "\\boldsymbol { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "at a specific direction", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 265, + 385, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 385, + 278 + ], + "score": 1.0, + "content": "and the filtering approach as detailed in Section 3 and 4, respectively.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5, + "bbox_fs": [ + 104, + 232, + 506, + 278 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 293, + 425, + 306 + ], + "lines": [ + { + "bbox": [ + 104, + 292, + 428, + 308 + ], + "spans": [ + { + "bbox": [ + 104, + 292, + 428, + 308 + ], + "score": 1.0, + "content": "B ILLUSTRATION OF F-PRINCIPLE FOR 1-D SYNTHETIC DATA", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "To illustrate the phenomenon of F-Principle, we use 1-d synthetic data to show the evolution of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "relative training error at different frequencies during the training of DNN. we train a DNN to fit a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 181, + 353 + ], + "score": 1.0, + "content": "1-d target function", + "type": "text" + }, + { + "bbox": [ + 182, + 340, + 327, + 353 + ], + "score": 0.92, + "content": "f ( x ) = \\sin ( x ) + \\sin ( 3 x ) + \\sin ( 5 x )", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 340, + 469, + 353 + ], + "score": 1.0, + "content": "of three frequency components. On", + "type": "text" + }, + { + "bbox": [ + 469, + 341, + 505, + 351 + ], + "score": 0.89, + "content": "n = 2 0 1", + "type": "inline_equation" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 351, + 507, + 368 + ], + "spans": [ + { + "bbox": [ + 104, + 351, + 252, + 368 + ], + "score": 1.0, + "content": "evenly spaced training samples, i.e.,", + "type": "text" + }, + { + "bbox": [ + 252, + 353, + 287, + 365 + ], + "score": 0.92, + "content": "\\{ x _ { i } \\} _ { i = 0 } ^ { n - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 351, + 299, + 368 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 300, + 353, + 353, + 365 + ], + "score": 0.58, + "content": "[ - 3 . 1 4 , 3 . 1 4 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 351, + 507, + 368 + ], + "score": 1.0, + "content": ", the discrete Fourier transform (DFT)", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 101, + 362, + 509, + 384 + ], + "spans": [ + { + "bbox": [ + 101, + 362, + 118, + 384 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 366, + 138, + 378 + ], + "score": 0.91, + "content": "f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 362, + 271, + 384 + ], + "score": 1.0, + "content": "or the DNN output (denoted by", + "type": "text" + }, + { + "bbox": [ + 272, + 366, + 293, + 378 + ], + "score": 0.85, + "content": "h ( x ) _ { , } ^ { \\cdot }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 362, + 362, + 384 + ], + "score": 1.0, + "content": ") is computed by", + "type": "text" + }, + { + "bbox": [ + 363, + 364, + 486, + 380 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\hat { f } _ { k } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { n - 1 } f ( x _ { i } ) \\mathrm { e } ^ { - \\mathrm { i } 2 \\pi i k / n } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 362, + 509, + 384 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 373, + 509, + 398 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 230, + 394 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\hat { h } _ { k } = \\frac { 1 } { n } \\sum _ { i = 0 } ^ { n - 1 } h ( x _ { i } ) \\mathrm { e } ^ { - \\mathrm { i } 2 \\pi j k / n } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 373, + 261, + 398 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 261, + 380, + 268, + 390 + ], + "score": 0.82, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 373, + 509, + 398 + ], + "score": 1.0, + "content": "is the frequency. As shown in Fig. 5(a), the target function", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "score": 1.0, + "content": "has three important frequencies as we design (black dots at the inset in Fig. 5(a)). To examine the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "convergence behavior of different frequency components during the training with MSE, we compute", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "score": 1.0, + "content": "the relative difference between the DNN output and the target function for the three important", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 424, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 154, + 439 + ], + "score": 1.0, + "content": "frequencies", + "type": "text" + }, + { + "bbox": [ + 154, + 426, + 161, + 436 + ], + "score": 0.77, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 426, + 288, + 439 + ], + "score": 1.0, + "content": "’s at each recording step, that is,", + "type": "text" + }, + { + "bbox": [ + 289, + 424, + 389, + 438 + ], + "score": 0.92, + "content": "\\bar { \\Delta } _ { F } ( k ) = { | \\hat { h } _ { k } - \\hat { f } _ { k } | } / { | \\hat { f } _ { k } | }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 426, + 420, + 439 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 420, + 425, + 434, + 438 + ], + "score": 0.74, + "content": "| \\cdot |", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "denotes the norm", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "of a complex number. As shown in Fig. 5(b), the DNN converges the first frequency peak very fast,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 448, + 493, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 493, + 461 + ], + "score": 1.0, + "content": "while converging the second frequency peak much slower, followed by the third frequency peak.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 19.5, + "bbox_fs": [ + 101, + 318, + 509, + 461 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 477 + ], + "score": 1.0, + "content": "Next, we investigate the F-Principle on real datasets with more general loss functions other than MSE", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 330, + 487 + ], + "score": 1.0, + "content": "which was the only loss studied in the previous works (", + "type": "text" + }, + { + "bbox": [ + 330, + 476, + 344, + 486 + ], + "score": 0.26, + "content": "\\mathrm { { X u } }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "et al., 2018; Rahaman et al., 2018). All", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 487, + 310, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 310, + 498 + ], + "score": 1.0, + "content": "experimental details can be found in Appendix. C.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 465, + 505, + 498 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 536, + 263, + 548 + ], + "lines": [ + { + "bbox": [ + 106, + 535, + 263, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 263, + 550 + ], + "score": 1.0, + "content": "C EXPERIMENTAL SETTINGS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "In Fig. 5, the parameters of the DNN is initialized by a Gaussian distribution with mean 0 and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 572, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 584 + ], + "score": 1.0, + "content": "standard deviation 0.1. We use a tanh-DNN with widths 1-8000-1 with full batch training. The", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 583, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 595 + ], + "score": 1.0, + "content": "learning rate is 0.0002. 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For CIFAR10 dataset, results are shown in Fig. 1(c) and 1(d) of a", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 337, + 645 + ], + "score": 1.0, + "content": "ReLU-CNN, which consists of one convolution layer of", + "type": "text" + }, + { + "bbox": [ + 338, + 633, + 384, + 644 + ], + "score": 0.91, + "content": "3 \\times 3 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 632, + 460, + 645 + ], + "score": 1.0, + "content": ", a max pooling of", + "type": "text" + }, + { + "bbox": [ + 460, + 633, + 484, + 644 + ], + "score": 0.89, + "content": "2 \\times 2", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 632, + 505, + 645 + ], + "score": 1.0, + "content": ", one", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 193, + 656 + ], + "score": 1.0, + "content": "convolution layer of", + "type": "text" + }, + { + "bbox": [ + 193, + 644, + 245, + 654 + ], + "score": 0.9, + "content": "3 \\times 3 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 644, + 324, + 656 + ], + "score": 1.0, + "content": ", a max pooling of", + "type": "text" + }, + { + "bbox": [ + 325, + 644, + 349, + 654 + ], + "score": 0.89, + "content": "2 \\times 2", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 644, + 505, + 656 + ], + "score": 1.0, + "content": ", followed by a fully-connected DNN", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "with widths 800-400-400-400-10. For both cases, the output layer of the network is equipped with a", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "softmax. The network output is a 10-d vector. The DNNs are trained with cross entropy loss by Adam", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "optimizer (Kingma & Ba, 2014). (a, b) are for MNIST with a tanh-DNN. The learning rate is 0.001", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "with batch size 10000. After training, the training accuracy is 0.951 and test accuracy is 0.963. 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2 } } \\\\ { u _ { n - 1 } } \\end{array} \\right) , \\quad \\pmb { g } = ( \\delta x ) ^ { 2 } \\left( \\begin{array} { c } { g _ { 1 } } \\\\ { g _ { 2 } } \\\\ { \\vdots } \\\\ { g _ { n - 2 } } \\\\ { g _ { n - 1 } } \\end{array} \\right) , \\quad x _ { i } = 2 \\frac { i } { n } .", + "type": "interline_equation", + "image_path": "aff6a41403fbdec390a8886d3c32ca2e9d72e24ee59ed7c59739dc86fe3adb9f.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 188, + 577, + 423, + 590.0 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 188, + 590.0, + 423, + 603.0 + ], + "spans": [], + "index": 36 + }, + { + "bbox": [ + 188, + 603.0, + 423, + 616.0 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 188, + 616.0, + 423, + 629.0 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 188, + 629.0, + 423, + 642.0 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 644, + 503, + 678 + ], + "lines": [ + { + "bbox": [ + 106, + 644, + 504, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 504, + 657 + ], + "score": 1.0, + "content": "A class of methods to solve this linear system is iterative schemes, for example, the Jacobi method.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 122, + 668 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 655, + 196, + 666 + ], + "score": 0.91, + "content": "\\pmb { A } = \\pmb { D } - 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Denote", + "type": "text" + }, + { + "bbox": [ + 423, + 83, + 435, + 92 + ], + "score": 0.87, + "content": "\\pmb { u } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "as the true value", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 91, + 508, + 107 + ], + "spans": [ + { + "bbox": [ + 104, + 91, + 273, + 107 + ], + "score": 1.0, + "content": "obtained by directly performing inverse of", + "type": "text" + }, + { + "bbox": [ + 273, + 94, + 283, + 104 + ], + "score": 0.81, + "content": "\\pmb { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 91, + 397, + 107 + ], + "score": 1.0, + "content": "in Eq. (11). 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The error at step", + "type": "text" + }, + { + "bbox": [ + 397, + 94, + 417, + 104 + ], + "score": 0.88, + "content": "t + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 91, + 427, + 107 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 428, + 93, + 503, + 104 + ], + "score": 0.94, + "content": "\\boldsymbol { e } ^ { t + 1 } = \\boldsymbol { u } ^ { t + 1 } - \\boldsymbol { u } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 91, + 508, + 107 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 103, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 104, + 103, + 132, + 117 + ], + "score": 1.0, + "content": "Then,", + "type": "text" + }, + { + "bbox": [ + 132, + 104, + 188, + 115 + ], + "score": 0.92, + "content": "e ^ { t + \\tilde { 1 } } = R _ { J } \\dot { e } ^ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 103, + 219, + 117 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 219, + 104, + 305, + 117 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\dot { \\pmb { R _ { J } } } = \\pmb { D } ^ { - 1 } ( \\pmb { L } + \\pmb { U } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 103, + 410, + 117 + ], + "score": 1.0, + "content": ". 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Since", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 106, + 326, + 444, + 341 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 250, + 344, + 362, + 370 + ], + "lines": [ + { + "bbox": [ + 250, + 344, + 362, + 370 + ], + "spans": [ + { + "bbox": [ + 250, + 344, + 362, + 370 + ], + "score": 0.94, + "content": "\\cos { \\frac { k \\pi } { n } } = - \\cos { \\frac { ( n - k ) \\pi } { n } } ,", + "type": "interline_equation", + "image_path": "1bffe5de533fda10903ed7ec14d39ec17368acc8c997e83338d9671a7e9f023e.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 250, + 344, + 362, + 370 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 375, + 505, + 409 + ], + "lines": [ + { + "bbox": [ + 106, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 172, + 388 + ], + "score": 1.0, + "content": "the frequencies", + "type": "text" + }, + { + "bbox": [ + 172, + 376, + 179, + 385 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 374, + 198, + 388 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 199, + 375, + 231, + 387 + ], + "score": 0.92, + "content": "( n - k )", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "are closely related and converge with the same rate. 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Note that", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 161, + 505, + 175 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 505, + 175 + ], + "score": 1.0, + "content": "according to Parseval’s theorem, this loss function in the Fourier domain is equal to the commonly", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 103, + 171, + 508, + 191 + ], + "spans": [ + { + "bbox": [ + 103, + 171, + 267, + 191 + ], + "score": 1.0, + "content": "used loss of mean squared error, that is,", + "type": "text" + }, + { + "bbox": [ + 267, + 173, + 393, + 189 + ], + "score": 0.93, + "content": "\\begin{array} { r } { L = \\int _ { - \\infty } ^ { + \\infty } \\frac { 1 } { 2 } ( h ( x ) - f ( x ) ) ^ { 2 } \\mathrm { d } x } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 171, + 508, + 191 + ], + "score": 1.0, + "content": ". For readers’ reference, we", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 187, + 351, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 220, + 201 + ], + "score": 1.0, + "content": "list the partial derivatives of", + "type": "text" + }, + { + "bbox": [ + 220, + 188, + 241, + 200 + ], + "score": 0.93, + "content": "L ( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 187, + 351, + 201 + ], + "score": 1.0, + "content": "with respect to parameters", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5, + "bbox_fs": [ + 102, + 120, + 508, + 201 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 196, + 205, + 414, + 330 + ], + "lines": [ + { + "bbox": [ + 196, + 205, + 414, + 330 + ], + "spans": [ + { + "bbox": [ + 196, + 205, + 414, + 330 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\frac { \\partial L ( k ) } { \\partial a _ { j } } = \\frac { 2 \\pi } { w _ { j } } \\sin \\big ( \\frac { b _ { j } k } { w _ { j } } - 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Through the above framework of analysis, we have the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 572, + 216, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 216, + 585 + ], + "score": 1.0, + "content": "following theorem. Define", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 548, + 506, + 585 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 237, + 583, + 374, + 598 + ], + "lines": [ + { + "bbox": [ + 237, + 583, + 374, + 598 + ], + "spans": [ + { + "bbox": [ + 237, + 583, + 374, + 598 + ], + "score": 0.92, + "content": "W = ( w _ { 1 } , w _ { 2 } , \\cdot \\cdot \\cdot , w _ { m } ) ^ { T } \\in \\mathbb { R } ^ { m } .", + "type": "interline_equation", + "image_path": "5cef5659a05800c10219ae1563f6d2f50c6881c403e38c032fdd5919f4da9aae.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 237, + 583, + 374, + 598 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 600, + 506, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 400, + 615 + ], + "score": 1.0, + "content": "Theorem. 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The proofs for", + "type": "text" + }, + { + "bbox": [ + 329, + 132, + 366, + 144 + ], + "score": 0.91, + "content": "\\theta _ { l j } = w _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 131, + 384, + 144 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 385, + 132, + 394, + 144 + ], + "score": 0.86, + "content": "b _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 131, + 506, + 144 + ], + "score": 1.0, + "content": "are similar. 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Also note that", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 303, + 338, + 321 + ], + "spans": [ + { + "bbox": [ + 107, + 304, + 206, + 321 + ], + "score": 0.93, + "content": "\\begin{array} { r } { | \\sin ( \\frac { b _ { j } k _ { 2 } } { w _ { j } } - \\phi ( k _ { 2 } ) ) | \\leq 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 303, + 327, + 321 + ], + "score": 1.0, + "content": "and that for sufficiently small", + "type": "text" + }, + { + "bbox": [ + 327, + 307, + 333, + 316 + ], + "score": 0.76, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 303, + 338, + 321 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "interline_equation", + "bbox": [ + 196, + 325, + 414, + 360 + ], + "lines": [ + { + "bbox": [ + 196, + 325, + 414, + 360 + ], + "spans": [ + { + "bbox": [ + 196, + 325, + 414, + 360 + ], + "score": 0.94, + "content": "\\left| \\frac { \\exp ( \\frac { \\pi k _ { 1 } } { 2 w _ { j } } ) - \\exp ( - \\frac { \\pi k _ { 1 } } { 2 w _ { j } } ) } { \\exp ( \\frac { \\pi k _ { 2 } } { 2 w _ { j } } ) - \\exp ( - \\frac { \\pi k _ { 2 } } { 2 w _ { j } } ) } \\right| \\leq 2 \\exp \\Big ( \\frac { - \\pi ( k _ { 2 } - k _ { 1 } ) } { 2 | w _ { j } | } \\Big ) .", + "type": "interline_equation", + "image_path": "bb8903620c13e13f4b48ea39de85f94d619a17d2c4e8617f76569697d373a5e6.jpg" + } + ] + } + ], + "index": 15.5, + "virtual_lines": [ + { + "bbox": [ + 196, + 325, + 414, + 342.5 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 196, + 342.5, + 414, + 360.0 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 363, + 242, + 375 + ], + "lines": [ + { + "bbox": [ + 106, + 362, + 242, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 242, + 376 + ], + "score": 1.0, + "content": "Thus, inequality (32) implies that", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 379, + 423, + 410 + ], + "lines": [ + { + "bbox": [ + 187, + 379, + 423, + 410 + ], + "spans": [ + { + "bbox": [ + 187, + 379, + 423, + 410 + ], + "score": 0.95, + "content": "\\Big | \\sin \\Big ( \\frac { b _ { j } k _ { 1 } } { w _ { j } } - \\phi ( k _ { 1 } ) \\Big ) \\Big | \\le \\frac { 8 | \\hat { f } ( k _ { 2 } ) | } { | \\hat { f } ( k _ { 1 } ) | } \\exp \\Big ( - \\frac { \\pi ( k _ { 2 } - k _ { 1 } ) } { 2 | w _ { j } | } \\Big ) .", + "type": "interline_equation", + "image_path": "00205478ee949331ce030e1bdac2467874f20fa9d0f110595ef63a989b1e80d7.jpg" + } + ] + } + ], + "index": 18.5, + "virtual_lines": [ + { + "bbox": [ + 187, + 379, + 423, + 394.5 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 187, + 394.5, + 423, + 410.0 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 414, + 487, + 428 + ], + "lines": [ + { + "bbox": [ + 104, + 412, + 488, + 430 + ], + "spans": [ + { + "bbox": [ + 104, + 412, + 162, + 430 + ], + "score": 1.0, + "content": "Noticing that", + "type": "text" + }, + { + "bbox": [ + 162, + 414, + 262, + 428 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\frac { 2 } { \\pi } | x | \\leq | \\sin x | ( | x | \\leq \\frac { \\pi } { 2 } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 412, + 367, + 430 + ], + "score": 1.0, + "content": "and Eq. 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Then Eq. (40)", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 612, + 508, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 210, + 633 + ], + "score": 1.0, + "content": "only holds for some large", + "type": "text" + }, + { + "bbox": [ + 210, + 621, + 216, + 631 + ], + "score": 0.78, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 617, + 283, + 633 + ], + "score": 1.0, + "content": ", more precisely,", + "type": "text" + }, + { + "bbox": [ + 283, + 616, + 359, + 632 + ], + "score": 0.94, + "content": "\\begin{array} { r } { q \\ge q _ { 0 } : = \\frac { b _ { j } k } { \\pi \\delta } - 2 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 612, + 508, + 635 + ], + "score": 1.0, + "content": "bjkπδ − 2. 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Therefore,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 257, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 257, + 116 + ], + "score": 1.0, + "content": "we final arrive at the desired estimate", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "interline_equation", + "bbox": [ + 210, + 120, + 400, + 149 + ], + "lines": [ + { + "bbox": [ + 210, + 120, + 400, + 149 + ], + "spans": [ + { + "bbox": [ + 210, + 120, + 400, + 149 + ], + "score": 0.93, + "content": "\\frac { \\mu ( S _ { 1 j , \\delta } ) } { \\mu ( B _ { \\delta } ) } \\leq \\frac { \\mu ( I ) \\omega _ { m - 1 } \\delta ^ { m - 1 } } { \\omega _ { m } \\delta ^ { m } } \\leq C \\exp ( - c / \\delta ) ,", + "type": "interline_equation", + "image_path": "04758c3aeaef24b986db508b64688312b7cf1acb93c5d5ab867ed1b6d7c34e95.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 210, + 120, + 400, + 134.5 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 210, + 134.5, + 400, + 149.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 155, + 288, + 167 + ], + "lines": [ + { + "bbox": [ + 105, + 154, + 288, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 133, + 167 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 157, + 148, + 166 + ], + "score": 0.86, + "content": "\\omega _ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 154, + 268, + 167 + ], + "score": 1.0, + "content": "is the volume of a unit ball in", + "type": "text" + }, + { + "bbox": [ + 269, + 155, + 284, + 165 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 154, + 288, + 167 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 177, + 506, + 228 + ], + "lines": [ + { + "bbox": [ + 105, + 177, + 506, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 430, + 191 + ], + "score": 1.0, + "content": "Theorem. 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By gradient descent algorithm, we obtain", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 379, + 416, + 481 + ], + "lines": [ + { + "bbox": [ + 194, + 379, + 416, + 481 + ], + "spans": [ + { + "bbox": [ + 194, + 379, + 416, + 481 + ], + "score": 0.93, + "content": "\\begin{array} { l } { \\displaystyle \\frac { \\partial L ( k _ { 1 } ) } { \\partial t } = \\sum _ { l , j } \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } \\frac { \\partial \\theta _ { l j } } { \\partial t } } \\\\ { \\displaystyle = - \\sum _ { l , j } \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } \\frac { \\partial ( L ( k _ { 1 } ) + L ( k _ { 2 } ) ) } { \\partial \\theta _ { l j } } } \\\\ { \\displaystyle = - \\sum _ { l , j } \\left( \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } \\right) ^ { 2 } - \\sum _ { l , j } \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } \\frac { \\partial L ( k _ { 2 } ) } { \\partial \\theta _ { l j } } , } \\end{array}", + "type": "interline_equation", + "image_path": "fa67e374eb5c69b6f6cb2a2e11d3587b360bf182b1773a83aa4d047b76fe278c.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 194, + 379, + 416, + 393.57142857142856 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 194, + 393.57142857142856, + 416, + 408.1428571428571 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 194, + 408.1428571428571, + 416, + 422.71428571428567 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 194, + 422.71428571428567, + 416, + 437.2857142857142 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 194, + 437.2857142857142, + 416, + 451.8571428571428 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 194, + 451.8571428571428, + 416, + 466.42857142857133 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 194, + 466.42857142857133, + 416, + 480.9999999999999 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 489, + 414, + 523 + ], + "lines": [ + { + "bbox": [ + 195, + 489, + 414, + 523 + ], + "spans": [ + { + "bbox": [ + 195, + 489, + 414, + 523 + ], + "score": 0.89, + "content": "\\frac { \\partial L ( k _ { 2 } ) } { \\partial t } = - \\sum _ { l , j } \\bigg ( \\frac { \\partial L ( k _ { 2 } ) } { \\partial \\theta _ { l j } } \\bigg ) ^ { 2 } - \\sum _ { l , j } \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } \\frac { \\partial L ( k _ { 2 } ) } { \\partial \\theta _ { l j } } ,", + "type": "interline_equation", + "image_path": "06b91a6c343a044f320c5f4ed52251db96c600ba2e8ec653c6ef3a2134229887.jpg" + } + ] + } + ], + "index": 23.5, + "virtual_lines": [ + { + "bbox": [ + 195, + 489, + 414, + 506.0 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 195, + 506.0, + 414, + 523.0 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 124, + 538 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 124, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 124, + 539 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 173, + 538, + 438, + 572 + ], + "lines": [ + { + "bbox": [ + 173, + 538, + 438, + 572 + ], + "spans": [ + { + "bbox": [ + 173, + 538, + 438, + 572 + ], + "score": 0.92, + "content": "\\frac { \\partial L } { \\partial t } = \\frac { \\partial \\left( L ( k _ { 1 } ) + L ( k _ { 2 } ) \\right) } { \\partial t } = - 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\\frac { \\partial L ( k _ { 2 } ) } { \\partial t } = - \\sum _ { l , j } \\left[ \\left( \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } \\right) ^ { 2 } - \\left( \\frac { \\partial L ( k _ { 2 } ) } { \\partial \\theta _ { l j } } \\right) ^ { 2 } \\right] ,", + "type": "interline_equation", + "image_path": "64bfc04ce3f23971cb6b2120ccf570f3decb8b035ce7c09c918490519e4b2829.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 171, + 587, + 438, + 598.6666666666666 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 171, + 598.6666666666666, + 438, + 610.3333333333333 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 171, + 610.3333333333333, + 438, + 621.9999999999999 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 626, + 194, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 624, + 194, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 194, + 639 + ], + "score": 1.0, + "content": "it is sufficient to have", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "interline_equation", + "bbox": [ + 256, + 636, + 356, + 664 + ], + "lines": [ + { + "bbox": [ + 256, + 636, + 356, + 664 + ], + "spans": [ + { + "bbox": [ + 256, + 636, + 356, + 664 + ], + "score": 0.94, + "content": "\\left| \\frac { \\partial L ( k _ { 1 } ) } { \\partial \\theta _ { l j } } \\right| > \\left| \\frac { \\partial L ( k _ { 2 } ) } { \\partial \\theta _ { l j } } \\right| .", + "type": "interline_equation", + "image_path": "5140b6aade4aaa7777d79621037229bdde18b1b026f00dd6f62e5694778f29f4.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 256, + 636, + 356, + 664 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 668, + 212, + 680 + ], + "lines": [ + { + "bbox": [ + 106, + 668, + 212, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 212, + 681 + ], + "score": 1.0, + "content": "Eqs. (43, 44) also yield to", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "interline_equation", + "bbox": [ + 278, + 680, + 333, + 705 + ], + "lines": [ + { + "bbox": [ + 278, + 680, + 333, + 705 + ], + "spans": [ + { + "bbox": [ + 278, + 680, + 333, + 705 + ], + "score": 0.93, + "content": "\\frac { \\partial L ( k _ { 1 } ) } { \\partial t } < 0 .", + "type": "interline_equation", + "image_path": "895ceb40564c5f773f4fa48b8d39203f5ed7df5a14bc508c638b20b0ddfe315d.jpg" + } + ] + } + ], + "index": 36, + "virtual_lines": [ + { + "bbox": [ + 278, + 680, + 333, + 705 + ], + "spans": [], + "index": 36 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 304, + 722 + ], + "score": 1.0, + "content": "Therefore, Eq. 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For", + "type": "text" + }, + { + "bbox": [ + 415, + 83, + 451, + 93 + ], + "score": 0.89, + "content": "W \\in B _ { \\delta }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 81, + 470, + 95 + ], + "score": 1.0, + "content": ", the", + "type": "text" + }, + { + "bbox": [ + 470, + 83, + 505, + 94 + ], + "score": 0.91, + "content": "( m - 1 )", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 104, + 91, + 509, + 108 + ], + "spans": [ + { + "bbox": [ + 104, + 91, + 185, + 108 + ], + "score": 1.0, + "content": "dimensional vector", + "type": "text" + }, + { + "bbox": [ + 186, + 94, + 321, + 106 + ], + "score": 0.87, + "content": "( w _ { 1 } , \\cdot \\cdot \\cdot , w _ { j - 1 } , w _ { j + 1 } , \\cdot \\cdot \\cdot , w _ { m } ) ^ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 91, + 414, + 108 + ], + "score": 1.0, + "content": "is in a ball with radius", + "type": "text" + }, + { + "bbox": [ + 414, + 94, + 420, + 104 + ], + "score": 0.81, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 91, + 431, + 108 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 432, + 93, + 457, + 104 + ], + "score": 0.91, + "content": "\\mathbb { R } ^ { m - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 91, + 509, + 108 + ], + "score": 1.0, + "content": ". 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The", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 453, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 453, + 375 + ], + "score": 1.0, + "content": "DNN is trained by Adam optimizer (Kingma & Ba, 2014) with the MSE loss function.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 17 + } + ], + "index": 11.25 + }, + { + "type": "title", + "bbox": [ + 108, + 394, + 254, + 407 + ], + "lines": [ + { + "bbox": [ + 105, + 392, + 257, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 257, + 409 + ], + "score": 1.0, + "content": "F MEMORIZING 2-D IMAGE", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 419, + 506, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 418, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 428, + 433 + ], + "score": 1.0, + "content": "We train a DNN to fit a natural image (See Fig. 6(a)), a mapping from coordinate", + "type": "text" + }, + { + "bbox": [ + 428, + 420, + 451, + 431 + ], + "score": 0.93, + "content": "( x , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 418, + 506, + 433 + ], + "score": 1.0, + "content": "to gray scale", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "strength, where the latter is subtracted by its mean and then normalized by the maximal absolute", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "score": 1.0, + "content": "value. 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The DNN can well capture this 1-d slice after training as shown in Fig. 6(c).", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 507, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 237, + 521 + ], + "score": 1.0, + "content": "Fig. 6(d) displays the amplitudes", + "type": "text" + }, + { + "bbox": [ + 237, + 507, + 263, + 521 + ], + "score": 0.93, + "content": "| { \\hat { f } } ( k ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 509, + 506, + 521 + ], + "score": 1.0, + "content": "of the first 40 frequency components. 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As the relative error shown in Fig. 6(e), the first five frequency", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 542, + 275, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 275, + 554 + ], + "score": 1.0, + "content": "peaks converge from low to high in order.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 107, + 559, + 505, + 625 + ], + "lines": [ + { + "bbox": [ + 106, + 559, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 506, + 570 + ], + "score": 1.0, + "content": "Next, we initialize DNN parameters by a Gaussian distribution with mean 0 and standard deviation 1", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "(initialization with large parameters). 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The training data are all pixels whose horizontal", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 263, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 505, + 274 + ], + "score": 1.0, + "content": "indices are odd. We initialize DNN parameters by a Gaussian distribution with mean 0 and standard", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 272, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 286 + ], + "score": 1.0, + "content": "deviation 0.08 (small initial) or 1 (large initial). (a) True image. (b-g) correspond to the case of the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "small initial parameters. (f-h) correspond to the case of the large initial parameters. 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(d)", + "type": "text" + }, + { + "bbox": [ + 275, + 306, + 300, + 320 + ], + "score": 0.92, + "content": "| { \\hat { h } } ( k ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 307, + 447, + 321 + ], + "score": 1.0, + "content": "(green) at certain training epoch and", + "type": "text" + }, + { + "bbox": [ + 447, + 306, + 473, + 320 + ], + "score": 0.93, + "content": "| { \\hat { f } } ( k ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "(red) at", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 319, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 506, + 331 + ], + "score": 1.0, + "content": "the red dashed position in (a), as a function of frequency index. 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The", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 362, + 453, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 453, + 375 + ], + "score": 1.0, + "content": "DNN is trained by Adam optimizer (Kingma & Ba, 2014) with the MSE loss function.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 17 + } + ], + "index": 11.25 + }, + { + "type": "title", + "bbox": [ + 108, + 394, + 254, + 407 + ], + "lines": [ + { + "bbox": [ + 105, + 392, + 257, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 257, + 409 + ], + "score": 1.0, + "content": "F MEMORIZING 2-D IMAGE", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 419, + 506, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 418, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 428, + 433 + ], + "score": 1.0, + "content": "We train a DNN to fit a natural image (See Fig. 6(a)), a mapping from coordinate", + "type": "text" + }, + { + "bbox": [ + 428, + 420, + 451, + 431 + ], + "score": 0.93, + "content": "( x , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 418, + 506, + 433 + ], + "score": 1.0, + "content": "to gray scale", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "strength, where the latter is subtracted by its mean and then normalized by the maximal absolute", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "score": 1.0, + "content": "value. 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As an illustration of the F-Principle, we study the Fourier transform of the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 193, + 498 + ], + "score": 1.0, + "content": "image with respect to", + "type": "text" + }, + { + "bbox": [ + 193, + 488, + 200, + 495 + ], + "score": 0.74, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 486, + 244, + 498 + ], + "score": 1.0, + "content": "for a fixed", + "type": "text" + }, + { + "bbox": [ + 244, + 487, + 251, + 497 + ], + "score": 0.79, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 486, + 484, + 498 + ], + "score": 1.0, + "content": "(red dashed line in Fig. 6(a), denoted as the target function", + "type": "text" + }, + { + "bbox": [ + 484, + 485, + 505, + 497 + ], + "score": 0.9, + "content": "f ( x )", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 495, + 507, + 510 + ], + "spans": [ + { + "bbox": [ + 104, + 495, + 507, + 510 + ], + "score": 1.0, + "content": "in the spatial domain). The DNN can well capture this 1-d slice after training as shown in Fig. 6(c).", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 507, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 237, + 521 + ], + "score": 1.0, + "content": "Fig. 6(d) displays the amplitudes", + "type": "text" + }, + { + "bbox": [ + 237, + 507, + 263, + 521 + ], + "score": 0.93, + "content": "| { \\hat { f } } ( k ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 509, + 506, + 521 + ], + "score": 1.0, + "content": "of the first 40 frequency components. 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As the relative error shown in Fig. 6(e), the first five frequency", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 542, + 275, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 275, + 554 + ], + "score": 1.0, + "content": "peaks converge from low to high in order.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 29.5, + "bbox_fs": [ + 104, + 418, + 507, + 554 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 559, + 505, + 625 + ], + "lines": [ + { + "bbox": [ + 106, + 559, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 506, + 570 + ], + "score": 1.0, + "content": "Next, we initialize DNN parameters by a Gaussian distribution with mean 0 and standard deviation 1", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "(initialization with large parameters). After training, the DNN can well capture the training data, as", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "score": 1.0, + "content": "shown in the left in Fig. 6(f). However, the DNN output at the test pixels are very noisy, as shown", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "in the right in Fig. 6(f). For the pixels at the red dashed lines in Fig. 6(a), as shown in Fig. 6(g),", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 603, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 505, + 614 + ], + "score": 1.0, + "content": "the DNN output fluctuates a lot. Compared with the case of small initial parameters, as shown in", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 613, + 468, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 468, + 626 + ], + "score": 1.0, + "content": "Fig. 6(h), the convergence order of the first five frequency peaks do not have a clear order.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 559, + 506, + 626 + ] + } + ] + } + ], + "_backend": "pipeline", + "_version_name": "2.2.2" +} \ No newline at end of file diff --git a/parse/train/Skgb5h4KPH/Skgb5h4KPH_model.json b/parse/train/Skgb5h4KPH/Skgb5h4KPH_model.json new file mode 100644 index 0000000000000000000000000000000000000000..8bea82b8104df3deed01110e9db3ec4db4c59181 --- /dev/null +++ b/parse/train/Skgb5h4KPH/Skgb5h4KPH_model.json @@ -0,0 +1,31860 @@ +[ + { + "layout_dets": [ + { + "category_id": 1, + "poly": [ + 298, + 1299, + 1405, + 1299, + 1405, + 1695, + 298, + 1695 + ], + "score": 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challenge to deploy in smaller devices. Numerous quantization techniques have been proposed to reduce the inference latency/memory consumption. However, these techniques impose a large overhead on the training procedure or need to change the training process. We present a non-intrusive quantization technique based on re-training the full precision model, followed by directly optimizing the corresponding binary model. The quantization training process takes no longer than the original training process. We also propose a new loss function to regularize the weights, resulting in reduced quantization error. Combining both help us achieve full precision accuracy on CIFAR dataset using binary quantization. We also achieve full precision accuracy on WikiText-2 using 2 bit quantization. Comparable results are also shown for ImageNet. We also present a 1.5 bits hybrid model exceeding the performance of TWN LSTM model for WikiText-2. + +# 1 INTRODUCTION + +Different variants of Deep Neural Networks have achieved state-of-the-art results in various domains from computer vision to language processing (Krizhevsky et al., 2012; Ren et al., 2015; Vaswani et al., 2017; Cho et al., 2014). However, newer models are becoming more memory and computation intensive to achieve performance improvements. For example, winner of ILSVRC 2015 ResNet (He et al., 2016) increased the number of layers by over $4 \mathbf { x }$ to gain less than $2 \%$ Top-1 accuracy improvement on ImageNet (Russakovsky et al., 2015). Compression techniques, such as knowledge distillation, pruning, low rank approximation and quantization, have been proposed to reduce the model size (Vapnik & Izmailov, 2015; Han et al., 2015; Sainath et al., 2013; Courbariaux et al., 2015). These compression techniques are evolving the field of model compression towards the goal of deploying DNN models on mobile-phone and other embedded devices. + +Courbariaux et al. (2015) proposed the widely used technique for training quantized neural networks, where binary weights are used during forward and backward propagation, while full precision weights are preserved for accumulating gradients. Binary weights are approximated from full precision weights every iteration. (Zhou et al., 2018; 2017a) have proposed incremental quantization training procedure where the range for the weights is incrementally reduced. Choi et al. (2017) use Hessian weighted $\mathbf { k }$ -means clustering for quantization. Lee & Kim (2018) used iterative procedure of quantizing, de-quantizing and complete retraining of the full precision model, performed multiple times. All the techniques aimed to reduce the quantization error (error between full precision model and corresponding quantized model). However, most of these quantization techniques either adds extra set of hyper-parameters or modifies/lengthens the original training procedure. + +Designing a neural network model consists of two main steps - choose a proper architecture/model given the characteristics of the task, and optimize the hyper-parameters for convergence and accuracy. Hyper-parameter search varies from number of layers in a model (Zoph et al., 2018) to learning rate (lr), batch-size (bs) combo (compare ResNet (He et al., 2016) and Inception (Szegedy et al., 2016) networks with altogether different hyper-parameter set). Courbariaux et al. (2015) requires updating the back-propagation procedure to train quantized networks. (Zhou et al., 2018; Lee & Kim, 2018) require very long training time because of multiple iterations of training and extra introduced hyper-parameters. Over time, focus on reducing the model size and the corresponding inference latency has led to either lengthening or major modifications to training procedure. Our Proposed quantization technique addresses these issues resulting in easy adoption of our technique. + +Our contributions include but are not limited to + +• A simple quantization training method based on re-training without requiring major modifications to the original training procedure. Training consists of two phases: phase1 trains the full precision model (with quantization) and phase2 trains the binary model constructed by phase1. +• Reduce the overhead of expensive quantization techniques as quantization is performed only every few steps (specifically once every 500 iterations for the experiments). +Maintained the total number of iterations and time required to train the quantized network compared to the full precision network. +• Achieve full precision accuracy for WikiText-2 and CIFAR dataset with 2-bit and 1-bit quantization respectively. Present a hybrid 1.5 bits LSTM models for WikiText-2 outperforming TWN LSTM model. Achieve performance comparable to existing works for ImageNet. + +# 2 RELATED WORK + +Quantization. Courbariaux et al. (2015) proposed the idea of training binary neural networks with quantized weights. Rastegari et al. (2016) introduced shared scaling factors to allow more range for binary values. (Hubara et al., 2016; Zhou et al., 2016; Lin et al., 2017; McDonnell, 2018; Hubara et al., 2018) built upon the training methodology along with introduction of binary activation units. Lee & Kim (2018) performs full precision retraining multiple times to train a quantized network. Ternary quantization was proposed (Zhu et al., 2017; Li et al., 2016; Wang et al., 2018) to mitigate the gap between full precision and quantized weight networks. Let $\mathbf { W } ~ \in ~ \mathbb { R } ^ { k \times c \times f \times f }$ represent a weight of a convolution layer $l$ with total n elements where $k , c , f$ represents output channels, input channels and size of the filter respectively. Rastegari et al. (2016) splits $\boldsymbol { \mathsf { W } }$ into binary weight $\mathsf { B } ^ { \mathsf { ^ { * } } } \in \{ - 1 , + 1 \} ^ { k \times c \times f \times f }$ and scaling factor $\pmb { \alpha } \in \mathbb { R } ^ { + k }$ shared per output, where + +$$ +\begin{array} { r } { \mathbf { B } = \mathrm { s i g n } ( \mathbf { W } ) \qquad \mathbf { \alpha } \mathbf { \alpha } = \langle \mathbf { B } , \mathbf { W } \rangle / n } \end{array} +$$ + +obtained by minimizing $\| \boldsymbol { \mathsf { W } } - \alpha \boldsymbol { \mathsf { B } } \| ^ { 2 }$ . Binary quantization is extended to ternary where ${ \textbf { \textsf { B } } } \in$ $\{ - 1 , 0 , + 1 \} ^ { n \times c \times k \times k }$ . Ternary quantization introduces a threshold factor $\triangle _ { l }$ to assign the ternary value to a weight. (Li et al., 2016; Zhu et al., 2017; Wang et al., 2018) have proposed various methodologies to evaluate the threshold. Lee & Kim (2018) performed ternary quantization by combining pruning and binary quantization. + +Binary quantization was extended to multi-bit quantization using a greedy methodology by Guo et al. (2017). For k-bit quantization, minimizing $\| \hat { \pmb { \mathsf { W } } } _ { i } - \pmb { \alpha } _ { i } \pmb { \mathsf { B } } _ { i } \|$ for $\mathrm { i ^ { \mathrm { t h } } }$ bit quantization resulted in, + +$$ +\mathbf { B } _ { i } = \mathrm { s i g n } ( \hat { \mathsf { W } } _ { i } ) \qquad \quad \alpha _ { i } = \langle \bar { \mathbf { B } } _ { i } , \hat { \mathsf { W } } _ { i } \rangle / n \qquad \mathrm { w h e r e } \ \hat { \mathsf { W } } _ { i } = \mathsf { W } - \sum _ { j = 1 } ^ { i - 1 } \alpha _ { j } \mathsf { B } _ { j } +$$ + +referred as the greedy approach. Greedy approach was improved by refined method, where $\alpha _ { i }$ is computed by using $( ( \bar { \mathbf { B } } _ { i } ^ { \bar { T } } \bar { \mathbf { B } } _ { i } ) ^ { - 1 } \mathbf { B } _ { i } ^ { T } \mathbf { W } ) ^ { T }$ . Xu et al. (2018) improved refined method by performing a binary search on the given refined $\alpha$ set and alternately evaluating $_ { \pmb { \alpha } }$ and $\mathsf { B }$ . Low precision networks have also been proposed to reduce the gap with quantized activation units (Zhuang et al. (2018)). Quantization has also been applied to RNNs and Long Short Term Memory (LSTM) models as well (Hou et al. (2017); Guo et al. (2017); Zhou et al. (2017b); Xu et al. (2018); Lee & Kim (2018)). We use greedy quantization in this work due to its simple operations (although alternating yields the better results at the cost of higher computation overhead). Next section describes our quantization training procedure in detail. + +# 3 ITERATIVE QUANTIZATION + +Choromanska et al. (2015) shows that minima of high quality (measured by test accuracy) for largesize networks occur in a well-defined band. Choromanska et al. (2015) also conjectured that training using methods like stochastic gradient descent, simulated annealing converges to a minimum in the band. Minima in the band can have varying flatness, where flat minima have smaller error introduced to the accuracy upon adding distortion to the weight (Hochreiter & Schmidhuber (1995)). However, exploring through multiple minima has been a challenging task. Simulated annealing1 (Kirkpatrick et al., 1983) explores through various minima, but does not aim to find wider minima. Motivated from simulated annealing, we propose a training technique to enable exploration of wider minimum among multiple minima. The technique allows escaping from relatively sharper minima and aims to find wider minima in the band. Our training procedure consists of two phases. Phase1 trains the full precision network with quantization. Phase2 fine-tunes the binary network obtained from phase1. + +![](images/9efa46e16b18fee62c60b979af66244a91330ef53ccc53fb6f3a2e243ae747cb.jpg) +Figure 1: (a) Quantization Training algorithm (b) Convergence of accuracy using step training (Phase1) for ResNet32 on CIFAR-10 dataset. + +![](images/84024054c2c1e3286f40377cbf68edc35652c29b9ba3de8895c2ef2d7eb3ecd4.jpg) + +# 3.1 PHASE1: STEP TRAINING + +The goal of phase1 is to produce a full precision model with optimized B and reduced quantization error (error between full precision and quantized model). Phase1 does not modify the original training procedure. Instead, in addition to the original training, phase1 just adds an extra distortion step using quantization (referred as quantized-distortion step), performed once every few iterations. Applying quantized-distortion to the weights consists of 3 parts - quantize the weights of each layer (quantization), convert the quantized weights back to full precision format (de-quantization), and update the full precision model with the de-quantized weights. Quantized-distortion is performed once every Quantized Step Size (QSS) iterations. Original training procedure combined with quantization-distortion is referred as Step Training (Figure 1a). Step training is performed in phase1 until the convergence of training (in principle). + +Full precision training of the network for QSS iterations explores the curvature of the local convex surface of the current local minimum. Applying quantized-distortion post-training moves the model to the quantized lattice point on the training contour. Suppose that the quantized lattice point exist outside the curvature around a sharp minimum. Then, the network escapes such sharper minima in phase1. In contrast to existing quantization training methods, step training does not store quantized weights. Instead, step training updates and replaces full precision weights with their quantized version every few iterations. + +Quantization Step Size. QSS determines the amount of retraining to be done between two quantized-distortion steps. QSS needs to be big enough to compensate for the error added by the distortion and let the network explore the current local curvature. However, QSS should not be too large to diverge the weights far away from a nearby quantized lattice point. Comparing big vs small QSS - big QSS allows the weights to explore farther allowing the binary representation of the weights to change (weights need large amount of updates to change their sign). On the other hand, small QSS allows the training to exploit the current local curvature and fine-tune $_ { \pmb { \alpha } }$ . + +![](images/68e711244922900fd4ad02d10085b063fa5b367094411f95821593a9c36ebdba.jpg) +Figure 2: (left) Histogram of bit flips for all the weights of ResNet32 for CIFAR-10. (right) weights flipping their signs over the course of step training. Weight is randomly chosen from layer 30 of ResNet32 for CIFAR-10. Larger learning rate allows for more exploration and flipping of weights while small learning rate allows for fine-tuning and final convergence. + +We observe that for a training procedure with fixed learning rate, starting with a big QSS and reducing QSS over the training period results in better convergence. However, the same behavior can be approximated with a fixed QSS and a varying learning rate. Figure 1b shows the movement of accuracy using step training with step-wise reducing learning rate and fixed QSS for ResNet32 on CIFAR-10. Larger learning rate enables larger amount of updates (and hence more curvature exploration) given the same gradient from the back propagation (fluctuations in the accuracy). On the other hand, smaller learning rate helps exploit (fine-tune the parameters inside the current minimum) as shown by a smoother rise in accuracy. Hence, we use fixed QSS (500 iterations) in the rest of the manuscript, although one can use varying QSS for further fine-tuning. + +Convergence of B. We observe that B converges earlier compared to $_ { \pmb { \alpha } }$ during step training. Such an observation is demonstrated in our experiment with step training for CIFAR-10 with ResNet32. Figure 2 shows the movement of weight with step training2. Initially, the sign bits of the weight flip frequently (with higher learning rate). However, with smaller learning rate (after 80K iterations for CIFAR-10), B do not change and only $_ { \pmb { \alpha } }$ is optimized. + +Convergence of $_ { \pmb { \alpha } }$ . Let $\pmb { \mathsf { W } }$ be a tensor of full precision weights with n elements. $\boldsymbol { \mathsf { W } }$ is quantized into $\mathsf { B }$ (binary tensor) and $_ { \pmb { \alpha } }$ (shared scaling factors). Step training updates $\boldsymbol { \mathsf { W } }$ every iteration. On the other hand, $( \boldsymbol { \mathsf { B } } , \alpha )$ are calculated every QSS iterations. Let $\triangle \boldsymbol { \mathsf { W } }$ denote the total update accumulated for $\boldsymbol { \mathsf { W } }$ since the last distortion step. Let $\triangle \alpha$ denote the change between the new $_ { \pmb { \alpha } }$ and the $_ \alpha$ calculated at previous distortion step. For binary quantization, the updated $_ \alpha$ is given by + +$$ +\pmb { \alpha } + \triangle \pmb { \alpha } = \frac { 1 } { n } \sum \vert \pmb { W } + \triangle \pmb { W } \vert +$$ + +where $| . |$ is the absolute function. Starting from a common absolute quantized value $( \alpha )$ , the weights sharing the same $\alpha$ update independently $( \forall i , j w _ { i } , w _ { j } \in \mathbf { W }$ , $\partial w _ { i } / \bar { \partial } w _ { j } = 0 ,$ ). With large QSS, as the weights diverge from $\alpha$ , the update for $\alpha$ becomes inefficient and noisy. Although phase1 results in optimized $\mathbf { B }$ , phase1 does not completely optimize $_ { \pmb { \alpha } }$ (within the limited number of iterations). Need for improved convergence of $_ { \pmb { \alpha } }$ forms the motivation for phase2. + +# 3.2 PHASE2: $_ { \pmb { \alpha } }$ TRAINING + +Phase2 starts by converting the full precision trained model from phase1 to the corresponding binary model. The full precision weights $\boldsymbol { \mathsf { W } }$ in phase1 are replaced with the corresponding binary version, $_ \alpha$ and $\mathsf { B }$ in the model. $\mathbf { B }$ is fixed and only $_ { \pmb { \alpha } }$ is trained. Phase2 only constructs the binary model and does not construct the full precision model. Phase2 is faster compared to phase1 due to fewer training parameters, use of binary weights, and no quantized-distortion step. Phase2 is performed with a smaller learning rate after the bit-flips do not occur anymore in phase1. Similar to phase1, phase2 also uses the original training procedure but with fewer number of trainable parameters. + +In the complete training procedure, we first perform phase1 followed by phase2. The trained binary model at the end of phase2 represents the output of the complete training procedure. This complete training procedure uses the same number of iterations as that in the original training procedure. As a result, the total training time combining phase1 and phase2 is equivalent to the original full precision training time. + +# 3.3 SPECIAL CARE FOR CNNS + +This section compares different ways to apply quantization on a 4D tensor kernel. Quantization for a 2D weight matrix $W$ with n elements outputs a binary 2D matrix $B \in \{ - 1 , + 1 \} ^ { n }$ and shared scaling factor $_ \alpha$ per row of $W$ . All the weights in a row share the same $\alpha$ , where $\alpha \in \alpha$ . Further, a row in the matrix can be split into $t$ sub-rows (referred as tables), where each table has a different $\alpha$ . For quantizing a 4D tensor kernel $\pmb { \mathsf { W } } \in \mathbb { R } ^ { k \times \overset { \cdot } { c } \times f \times f }$ in a convolution layer, $\boldsymbol { \mathsf { W } }$ is reshaped to 2D matrix $\dot { W } \in \mathbb { R } ^ { k \times c f f }$ (Rastegari et al., 2016) $k$ is the number of output features, $c$ is the number of inputs features and $f$ is the filter size). There are total $k \alpha$ , each shared by $c \times f \times f$ number of weights. Each output feature in the convolution layer has $c \times f \times f$ weights. Thus, there is only 1 $\alpha$ shared by all the weights for an output feature. As the quantized weights can only take the value of $\left\{ + \alpha , - \alpha \right\}$ , all the inputs for an output feature can only be weighted by the same absolute factor $\alpha$ . Hence, the representative power of the quantized network is limited. + +To alleviate this problem, we convert the 4D tensor $\boldsymbol { \mathsf { W } }$ to 2D matrix differently. $\pmb { \mathsf { W } }$ is transposed to $f \times k \times c \times f$ and then reshaped to 2D matrix $\mathbb { R } ^ { f \times k c f }$ (referred as skewed matrix). Next, each row of size $k \times c \times f$ is split into $k / f$ sub-rows. Each sub-row has a different $\alpha$ . Total number of $\alpha$ remains the same as above $( k )$ . Furthermore, the inputs for an output feature can now be weighted by $f$ number of unique $\alpha$ . Note that some $\alpha$ will be shared among different output features as well. In our experiments, skewed matrix shows better results. Section 5.1 shows the benefit in accuracy using the skewed matrix for quantization. + +# 4 K-MEANS LOSS AND SHUFFLING + +This section aims to limit the divergence of weights from each other during training to get more accurate estimation of $\alpha$ . $L _ { 2 }$ regularization (in the form of $L _ { 2 }$ loss) is frequently used in training of neural networks. $L _ { 2 }$ loss prevents the weights from exploding and suppresses the magnitude of the weights. However, $L _ { 2 }$ loss does apply any restriction on the variance of the weights. As $_ \alpha$ is obtained using Equation 1, higher variance in weights results in higher quantization error. We aim to reduce quantization error by introducing $L _ { K M }$ loss function to reduce the variance of the weights. Let $\boldsymbol { \mathsf { W } } _ { i }$ represent all the weights in a layer $i$ . Let $\mathbf { \pmb { w } } \in \mathbb { W } _ { i }$ be a subset of weights sharing common $\alpha$ ( $\pmb { w }$ are referred as clusters from now). The new loss is represented as: + +$$ +L _ { K M } = \frac { c } { \| \mathbf { W } \| ^ { 0 } } \sum _ { \forall \pmb { w } \in \mathbb { W } } \| \pmb { w } - \mathrm { a v g } ( | \pmb { w } | ) \| ^ { 2 } +$$ + +where c is a constant, $\mathrm { a v g ( . ) }$ computes the average of the inputs. $L _ { K M }$ divides the weights $\boldsymbol { \mathsf { W } }$ into different clusters $\pmb { w }$ with common $\alpha$ and limits the divergence of weights from the cluster average of its absolute values $_ { \pmb { \alpha } }$ . $L _ { K M }$ restricts the independent movement of weights. Similar with $L _ { 2 }$ loss, a diverged weight increases the $L _ { K M }$ . In addition, a diverged weight also shifts the cluster average, increasing the $L _ { K M }$ loss further. Thus $L _ { K M }$ encourages a lower variance in the weights with common $\alpha$ and improve quantization as a result. The constant factor $c$ is set to be the same as weight decay rate (the constant for $L _ { 2 }$ loss is reduced to mitigate the effect of $L _ { 2 }$ ). + +Shuffling. $L _ { K M }$ can be extended for multiple tables, where a row of a quantized matrix has multiple shared $_ { \pmb { \alpha } }$ . With multiple tables, let $\textbf { \em w }$ correspond to a subset of row, where the subset shares the common $\alpha$ . $L _ { K M }$ helps in better approximation for $_ \alpha$ by forcing a predetermined group of weights to exhibit low variance. We could also achieve a better approximation for $_ { \pmb { \alpha } }$ by re-arranging the weights so that similar values are grouped together. Note that rearranging is applicable for DNNs with multiple tables only. + +Let the weight matrix between two fully connected layers $l ^ { i }$ and $l ^ { i - 1 }$ be represented by $W ^ { i , i - 1 }$ . Two nodes in a layer $l ^ { i }$ given as $l _ { j } ^ { i }$ and $l _ { k } ^ { i }$ can be swapped by switching the rows $j , k$ of weight matrix $W ^ { i , i - 1 }$ and the columns $j , k$ of $W ^ { i + 1 , i }$ . The layout of the weight matrix can be set to cluster the desired weights without impacting the output of the network. Swapping the nodes in layer $l ^ { i }$ , $l ^ { i - 1 }$ swaps the rows and columns of $\breve { W } ^ { i , i - 1 }$ respectively. Thus, nodes in each layer can be swapped independently. K-means clustering is used to find an optimized configuration of weights in terms of grouping similar values together first. And then the nodes in the layer are swapped to enforce such configuration, reducing the quantization error. The methodology of finding and applying the optimal swapping configuration is termed as shuffling of nodes. + +Because applying shuffling of nodes to the current layer requires a layer before and after the current layer, we introduce a shuffle layer in the start and end of the network to allow shuffling in first and last layer of the network. The shuffle layer stores the shuffle configuration and behaves as a mapping layer. The overhead of the shuffle layer is less than $1 \%$ of the model size (same as the size of bias in a layer). Shuffling is applied in the weight distortion step in phase1, when quantizing the weights. + +# 5 EXPERIMENTS + +Experiments are performed with CNNs and RNNs to show the effectiveness of the proposed method. All the experiments are performed using Tensorflow (Abadi et al., 2016) using 2 Titan X GPUs. Full precision models for CNNs are obtained from tensorflow models repository3, while RNN models are obtained from Verwimp et al. $( 2 0 1 7 ) ^ { 4 }$ . We quantize all the layers of the network unless specified otherwise. Iterative quantization training is performed on pre-trained full precision models. Greedy quantization using Equation 1 is used for all the experiments. Quantization Step Size is set to 500 constant throughout all the experiments. + +# 5.1 CIFAR + +ResNet32 is trained on CIFAR-10 (Krizhevsky, 2009) for $9 0 \mathrm { k }$ iterations, where the first $6 0 \mathrm { k }$ iterations are performed using step training and remaining 30k iterations are performed with $_ \alpha$ training. $60 \%$ pruning rate is set for ternary quantization. Training ResNet32 using our proposed quantization training method does not incur any increase in training time. + +Table 1 shows the improvement by combining the techniques discussed in previous sections in an incremental manner for ResNet32. We use the $k \alpha$ for quantization following Rastegari et al. (2016) as default quantization mode $k$ is the number of output features for a convolution layer). Different QSS schedules were tried where QSS starts with a high value and is reduced over the training procedure. QSS schedule produces better accuracy compared to fixed QSS for step training. Note that, however, $_ \alpha$ training eliminates the need to fine-tune over the QSS and achieves the same accuracy. Number of tables for skewed mode have been set to have the same model size as default mode (resulting in the same number of $\alpha$ ). + +Table 2 provides our final accuracy for CIFAR dataset with all the techniques combined using ResNet32 and WideResNet 28-10 models $7 0 \mathrm { x }$ bigger model size compared to ResNet32). Our model provides similar performance compared to TTQ (Zhu et al., 2017) using ResNet32. Our method achieves full precision accuracy for WideResNet 28-10 on both CIFAR-10 and CIFAR-100, compared to the results by McDonnell (2018) without changing the training procedure. We believe that WideResNet demonstrates smaller quantization error than ResNet32 because Li et al. (2018) reported that wider networks facilitates flatter minima. + +# 5.2 WIKITEXT-2 + +LSTM model with 1 layer consisting of 512 nodes is used for WikiText-2 (Merity et al., 2017) dataset, with same hyper-parameter settings as followed by Xu et al. (2018). Performance is measured with Perplexity Per Word metric (PPW). Full precision PPW is 100.2. Activation quantization requires quantization to be performed every iteration for inference, wiping out the speed up obtained with quantized weights for inference. Activation quantization slows down training as well. Thus, we use 32bit activations while 3bit activations used by $\mathrm { X u }$ et al. (2018). Our 2-bit alternating quantization (greedy quantization replaced with alternating quantization in our proposed method) reaches full precision PPW (Table 3). + +Table 1: Accuracy improvement by each method incrementally for ResNet32 on CIFAR-10. + +
ConfigAccuracy %
Full Precision92.47
Binary Step Training (BST)88.18
BST without pre-trained88.09
Ternary Step Training (TST)89.27
TST + QSS schedule90.45
TST +α training90.4
TST + skewed matrix91.3
TST+ skewed matrix + L KM91.8
TST+ skewed matrix +LKM +α training92.36
+ +Table 2: Accuracy Comparison for CIFAR using ResNet32 and WideResNet for TWN and binary models. TTQ: Zhu et al. (2017) (TWN model), Wide-1b: McDonnell (2018) (binary model) + +
ConfigAccuracy %
CIFAR-10ResNet32CIFAR-10WideResNetCIFAR-100WideResNet
OursTTQOursWide-1bOursWide-1b
FullPrecision92.4792.339595.7778.381.37
Binary Model92.3692.3795.0295.5478.381.06
+ +Table 3 compares the accuracy for multi-table models (multiple $\alpha$ per row of the matrix to be quantized) with TWN model (TWN method from Li et al. (2016) combined with our training method). Our multi-table model (8 tables for Embedding and Softmax layer, 16 tables for LSTM layer) combined with $L _ { K M }$ loss function generates PPW equivalent to TWN PPW. Multi-table model accounts to 1.5 bits per weight in total (after accumulating all the $_ { \pmb { \alpha } }$ and $\textbf { { B } }$ ). Applying $L _ { K M }$ reduces the model size by $2 5 \%$ from TWN (2 bit) to 1.5 bits with equivalent PPW. We also perform 1 bit quantization reaching 128.18 PPW. + +Hybrid LSTM. In the WikiText-2 LSTM model, Embedding and Softmax layer each forms over $45 \%$ of the full precision model size. Therefore, we selectively optimize the number of quantization bits for each layer to achieve higher compression rate. 1 bit quantization was found to be sufficient for Embedding layer. However, other layers required more number of bits. We fix 1bit quantization for Embedding layer (1 table per row), TWN for Softmax layer and vary the number of quantization bits for LSTM layer. Using 2bit for LSTM layer (1.53 bits per weight in total) provides PPW better than our TWN greedy model, with $2 5 \%$ smaller model size. + +# 5.3 ABLATION STUDY + +Random Initialization. The distribution of bit-flips and convergence of accuracy for step training with randomly initialized model and with pre-trained model is observed to be similar (Figure 2). The accuracy gap between Binary Step Training model with pre-trained model and BST without pre-trained model less than $0 . 1 \%$ (Table 1). + +One-Step Quantization. We experiment the degradation in accuracy with just one-step quantization (no retraining). ResNet32 with full precision accuracy of $9 2 . 4 7 \%$ on CIFAR-10 produces $4 4 . 3 3 \%$ accuracy. To examine the potential of $L _ { K M }$ , ResNet32 is again trained with random initialization in full precision mode with $L _ { K M }$ (without any form of quantization). Although, the full precision accuracy drops to $9 1 . 8 \%$ , one-step quantization accuracy goes up to $7 6 . 3 2 \%$ . Increasing the regularization constant for $L _ { K M }$ yields the one-step quantization accuracy as $8 4 . 5 1 \%$ . + +Table 3: Comparison of Perplexity Per Word (PPW) for LSTM models on WikiText-2 dataset. Multitable models use 1 quantization bit with multiple tables (8 tables ( $8 \alpha$ per row) for Embedding and Softmax layer, 16 tables for LSTM layer). Hybrid models use 1 bit quantization for Embedding layer and TWN quantization for Softmax layer. 2 to 4 quantization bits for LSTM layer provides 1.53 to 1.65 bits per weight models. Results for Guo et al. (2017) are taken from Xu et al. (2018). + +
2-bit modelsPPW1.5-bits modelsPPWHybrid modelsPPW
Guo et al. (2017)105.8Multi-table117.131.53 bit108.1
Xu et al. (2018)102.7Multi-table + L KM115.261.6 bit105.46
Our Greedy104.15Multi-table + Shuffle116.081.65 bit103.58
Our Alternating100.3TWN115.05
+ +Table 4: Robustness of Step Training to Quantization Step Size for CIFAR-10 with ResNet32. Accuracy varies within a range of $3 \%$ with QSS ranging from 10 to 2500. + +
Quantization Step Size105010050010002500500010000
Accuracy %86.7788.0388.9789.1588.8886.5283.0178.54
+ +Robustness. Table 4 shows the robustness of iterative quantization with varying QSS over $2 \mathbf { x }$ in the order of magnitudes. As explained in section 3.1, varying learning rate can provide the same functionality as varying QSS. As most of the modern neural networks use special learning rate policy (such as exponential decay, step-wise decay), the training procedure is overall robust to the choice of QSS. The simplicity of the algorithm and robustness to the added hyper-parameter facilitate quick adoption of our proposed technique. + +# 5.4 IMAGENET + +Full precision ResNet18 is trained on ImageNet (Russakovsky et al., 2015) following the base repository3 with batch size of 256. Our binary model reaches $6 0 . 6 \%$ Top1 accuracy compared to full precision accuracy of $6 9 . 6 \%$ (Table 5). Our model shows comparable accuracy compared to existing quantization methods. We believe our model can reach higher accuracy by using layer-by-layer quantization as done by Zhou et al. (2018). + +# 5.5 QUANTIZATION OVERHEAD + +Let training time per iteration be defined as the combined time to perform forward-propagation and back-propagation on a batch of data. We evaluate the overhead of performing a quantization step once relative to the defined training time per iteration. All the timings are averaged over 1000 iterations, averaged over ResNet32 and WideResNet. We observed that overhead of using greedy quantization is the lowest $8 \%$ and $12 \%$ of the training time for 1bit and 2bit quantization). More sophisticated quantization methods using regression or iterative procedures, namely refined and alternating quantization, have overhead of ${ 5 } \mathbf { x }$ and $4 0 \mathrm { x }$ respectively over the training time. Table 3 compares the benefit of using these quantization methods, where alternating quantization shows the best performance despite the biggest overhead. As our training method, unlike existing methods, performs quantization once every 500 iterations, the overhead of the quantization is reduced by $5 0 0 \mathrm { x }$ . As a result, the overhead of the most expensive quantization remains to be $10 \%$ of the training time. + +Table 5: Accuracy Comparison for Imagenet using ResNet18 for 1 bit quantization. + +
ConfigTop1 Accuracy
Full Precision69.6
Li et al. (2016) Dong et al. (2017)57.5 58.36
Our binary model60.6
Rastegari et al. (2016)60.8
Zhou et al. (2018)64.72
+ +# 6 CONCLUSION + +In this work, we have presented an iterative quantization technique performing quantization once every few steps, combined with binary model $_ { \pmb { \alpha } }$ training. Step training explores flatter minima while escaping sharp minima and $_ \alpha$ training performs exploitation of the chosen minima. We also presented a loss function $L _ { K M }$ which allows weights to be adjusted for improved quantization. We demonstrated full precision accuracy recovery with CIFAR and WikiText-2 dataset with our quantized models. We also presented a hybrid model with 1.5 bits performing better than the our TWN model. + +# REFERENCES + +Mart´ın Abadi, Paul Barham, Jianmin Chen, Zhifeng Chen, Andy Davis, Jeffrey Dean, Matthieu Devin, Sanjay Ghemawat, Geoffrey Irving, Michael Isard, Manjunath Kudlur, Josh Levenberg, Rajat Monga, Sherry Moore, Derek G. Murray, Benoit Steiner, Paul Tucker, Vijay Vasudevan, Pete Warden, Martin Wicke, Yuan Yu, and Xiaoqiang Zheng. 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In The IEEE Conference on Computer Vision and Pattern Recognition (CVPR), June 2018. + +# APPENDIX + +# A UPDATE TO $\pmb { \alpha }$ IN PHASE2 + +For lower learning rates, as $\mathbf { B }$ are fixed, $( w \cdot ( w + \triangle w ) ) > 0 )$ , where $w \in \mathbb { W }$ . Equation 3 is correspondingly updated to - + +$$ +\alpha + \triangle \alpha = \frac { 1 } { n } \sum | \boldsymbol { \mathsf { W } } + \triangle \boldsymbol { \mathsf { W } } | = \frac { 1 } { n } \sum | \boldsymbol { \mathsf { W } } | + \frac { 1 } { n } \sum \triangle \boldsymbol { \mathsf { W } } \circ \boldsymbol { \mathsf { B } } +$$ + +whewre $\circ$ is Hadamard product. Equation 5 shows that updates to $\boldsymbol { \mathsf { W } }$ are directly merged into $_ \alpha$ (after $\mathsf { B }$ has converged). Thus, the training procedure for quantization with low learning rate can be more efficient by optimizing $_ { \pmb { \alpha } }$ only, compared with optimizing both $\mathbf { B }$ and $_ { \pmb { \alpha } }$ . Phase2 presents such an efficient optimization method. + +# B TRAINING DETAILS + +We provide more details on the training procedure for the networks for all the datasets. + +# B.1 CIFAR + +CIFAR dataset consists of 50000 training images with 10000 test images. Each image is of size $3 2 \mathrm { x } 3 2 $ . CIFAR-10 dataset classifies the corpus of images into 10 disjoint classes. CIFAR-100 classifies the image set into 100 fine-grained disjoint classes. + +ResNet. ResNet32 and WideResNet 28-10 were both trained for 90k iterations with batch size of 128. Step-wise decay learning schedule was used. With initial learning rate of 0.1, learning rate was decayed with 0.1 at 40k, 60k and $8 0 \mathrm { k }$ iterations each. Momentum training optimizer was used for training with momentum set 0.9. 0.0005 was set as weight decay rate. Training was pre-processed with random cropping and random horizontal flipping. Evaluation data was pre-processed with a single central crop only. Quantization Step Size was set as 500 during step training. + +Pruning. ResNet32 was pruned with $60 \%$ as the final sparsity, with an initial sparsity of $20 \%$ . Pruning was started with a pre-trained model. Pruning was gradually increased at en exponential rate (exponential factor of 3) with the pruning being performed every 100 iterations. Re-training for pruning for performed for 40k iterations. + +# B.2 WIKITEXT-2 + +WikiText-2 contains 2088k training, $2 1 7 \mathrm { k }$ validation and $2 4 5 \mathrm { k }$ test tokens, with a vocabulary of $3 3 \mathrm { k }$ words. The model for Wikitext-2 consisted of 1 LSTM layer with 512 units. Initial learning rate was set as 20. Learning rate was decayed by 1.2 every 2 epochs. Training was terminated once the learning rate was less than 0.001 or maximum of 80 epochs was reached. The absolute gradient norm was set at 0.25. The network was unrolled for 30 time steps. Training was performed with a dropout ratio of 0.5. Weights were clipped to an absolute maximum of 1.0. Quantization Step Size was set as 500 during step training. + +Divergence with Greedy Quantization. Using greedy quantization with 2bit quantization for LSTM model always diverged the training with WikiText-2 dataset. To make the model converge up to some extent, we used 1bit quantized model as an initialization for 2 bit quantization. Although, 1bit initialized model converges for a few epochs but also diverges after 10-15 epochs. The results reported in Table 3 for 2 bit greedy quantization follow initializing with 1bit quantized model. The divergence in network with greedy quantization is the reason for using TWN for Softmax layer (and not 2bit quantization) in our hybrid model. + +# B.3 IMAGENET + +ImageNet consists of 1281176 training images with 50000 validation images, classified into 1000 classes. ResNet18 network was used for training. Training data was pre-processed with random cropping and random horizontal flipping. However, validation data was pre-processed with 1 single central crop. Step-wise decay learning rate schedule was followed with initial learning rate of 0.1 and decayed at epochs 30, 60, 80 and 90 by a factor of 0.1. The complete training procedure was performed for 100 epochs with a batch size of 256. Momentum training optimizer was used for training with momentum set 0.9. 0.0005 was set as weight decay rate. Quantization Step Size was set as 500 during step training. + +![](images/73277cf427dd67f429e415fddfe65da591c214b27b974e4c03867158a607437c.jpg) +Figure 3: Comparing different skewed and default quantization mode (Rastegari et al., 2016) with multiple tables. Skewed quantization mode converts a 4d tensor $\pmb { \mathsf { W } } \in \dot { \mathbb { R } } ^ { k \times c \times \overline { { f } } \times f }$ into $\scriptstyle { \dot { \mathbb { R } } } ^ { f \times k c { \dot { f } } }$ , and default quantization mode convert into $\mathbb { R } ^ { k \times c f f }$ (where $\mathbf { k }$ is number of output features, c is number of input features, fxf is the filter size). For a kernel of shape $1 2 8 \mathrm { x } 1 2 8 \mathrm { x } 3 \mathrm { x } 3$ , skewed mode with 42 tables has a memory footprint equivalent to default quantization mode. + +![](images/3c3929a73913a80050e31aafdfa3617efadbbe83b1c7b3299e53703e85418861.jpg) +(a) Performing node shuffling for a layer in DNN + +![](images/1b85d376c9dfd6f6002d72152e2beaef16033d2c4562de5ebd89991d13c9241c.jpg) +(b) Performing node shuffling for the first layer of DNN +Figure 4: Performing node shuffling for a layer in DNN. (a) Node shuffling for a layer in between 2 layers is performed by switching the row and columns of the previous and next weight matrix. (b) Node shuffling for the first layer of DNN is performed using shuffle layer. Shuffle layer maps the input to match the shuffling order with a very small overhead. Shuffle layers can also be added for RNN/LSTM layer to performing shuffling of layers independently in the weight matrices of RNN/LSTM layer. + +# B.4 BATCH NORMALIZATION + +Batch normalization (Ioffe & Szegedy, 2015) parameters ( $\dot { \mu }$ and $\sigma$ ) are updated using moving average. Consequently, the effect of quantized-distortion performed even 100 iterations earlier would have less than $1 \%$ effect on the BN parameters (with momentum $_ { 1 = 0 . 9 9 }$ ). As a result, BN parameters are not suited well for quantized model and results in drop in evaluation accuracy for the quantized model. To avoid the drop in evaluation accuracy by BN, the BN parameters are re-evaluated over 1 train epoch (keeping the other parameters fixed) before performing evaluation for the phase1. Phase2 does not require any special care for batch normalization as there is no distortion step. + +![](images/c892c49c74078cf42dc5647d606d620fd63b4825293fda0d9187f135f44be412.jpg) +Figure 5: Convergence of weight when training using Step Training. Compares two scenarios where (a) bit flips once and (b) bit does not flips during the course of step training. Step training was performed for ResNet32 using CIFAR-10 dataset. + +![](images/7a02a71403592d5c16fcd2c4ec56d1bef8bf13ede36e2b5580b75ec4aafde3b6.jpg) +Figure 6: (a) Shows the convergence of quantization error with decrease in learning rate. The distance between consecutive quantization weights (QSS iterations apart) and distance between corresponding full precision weights is also shown. Distance between consecutive quantization weights is directly correlated with the number of weight flips (Figure 2). (b) Shows the movement of loss with step training for ResNet32 using CIFAR-10 dataset. The loss rises for the last learning rate as distortion causes more damage compared what training with the small learning rate can repair. + +![](images/049edc2e340afc9f908558269628d7c9b4890e713e6e9441db9e635ba16d3af2.jpg) +Figure 7: (a) Shows the same behavior of histogram of total bit flips for step training with or without pre-trained model for ResNet32 with CIFAR-10 dataset. (b) Parametric 1-D plots as described in (Goodfellow et al., 2015; Keskar et al., 2017). $Q _ { i }$ denote the weight set after performing quantizeddistortion for the $\mathrm { i ^ { \mathrm { t h } } }$ time while performing step training. $F P _ { i }$ correspond to the full precision weight set just before performing the $\mathrm { i ^ { \mathrm { t h } } }$ quantized-distortion. The plot is for cross entropy along a line segment containing the two points. Specifically for $a \in [ 0 , 1 ]$ , we plot $f ( a Q _ { i } + ( 1 - a ) F \bar { P _ { i } } )$ . The same is plotted for $F P _ { i }$ and $Q _ { i + 1 }$ . + +![](images/35f987ee67e7abacf49740d2d9f50aeca7c8b89ee96f645f5233f04a60623a88.jpg) +Figure 8: (a) Parametric 1-D plots quantized weight sets at different learning rates while performing step training. Step training is performed with $1 6 0 \mathrm { k }$ iterations, with learning rate decayed by 0.1 every 40k steps to investigate the effects of 4 different learning rates. All the quantized points are sampled randomly at different iterations at different learning rate. $Q _ { 1 }$ is obtained at learning rate 0.1, $Q _ { 2 }$ at 0.01, $Q _ { 3 }$ at 0.001 and $Q _ { 4 }$ at 0.0001. (b) Starting from these quantized weight sets, the model is retrained using full precision training method for the remainder of the iterations. This retraining gives us $F P _ { 1 } , F P _ { 2 } , F P _ { 3 } , F P _ { 4 }$ . The rise in the loss function along the path between two full precision points shows the existence of full precision weights in different local minimum. + +![](images/8db582feabec0a018824c60442d0efadba8dc1e50e9634e31cce9873fa939a86.jpg) +Figure 9: Distribution of weights of the WikiText-2 LSTM model for full precision and quantized trained model. \ No newline at end of file diff --git a/parse/train/SyxnvsAqFm/SyxnvsAqFm_content_list.json b/parse/train/SyxnvsAqFm/SyxnvsAqFm_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..a8ecf5cd22b4edcd95bb149167bbc1e45ef4d40b --- /dev/null +++ b/parse/train/SyxnvsAqFm/SyxnvsAqFm_content_list.json @@ -0,0 +1,1721 @@ +[ + { + "type": "text", + "text": "COMPUTATION-EFFICIENT QUANTIZATION METHODFOR DEEP NEURAL NETWORKS", + "text_level": 1, + "bbox": [ + 176, + 98, + 823, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep Neural Networks, being memory and computation intensive, are a challenge to deploy in smaller devices. Numerous quantization techniques have been proposed to reduce the inference latency/memory consumption. However, these techniques impose a large overhead on the training procedure or need to change the training process. We present a non-intrusive quantization technique based on re-training the full precision model, followed by directly optimizing the corresponding binary model. The quantization training process takes no longer than the original training process. We also propose a new loss function to regularize the weights, resulting in reduced quantization error. Combining both help us achieve full precision accuracy on CIFAR dataset using binary quantization. We also achieve full precision accuracy on WikiText-2 using 2 bit quantization. Comparable results are also shown for ImageNet. We also present a 1.5 bits hybrid model exceeding the performance of TWN LSTM model for WikiText-2. ", + "bbox": [ + 233, + 270, + 764, + 450 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 486, + 334, + 502 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Different variants of Deep Neural Networks have achieved state-of-the-art results in various domains from computer vision to language processing (Krizhevsky et al., 2012; Ren et al., 2015; Vaswani et al., 2017; Cho et al., 2014). However, newer models are becoming more memory and computation intensive to achieve performance improvements. For example, winner of ILSVRC 2015 ResNet (He et al., 2016) increased the number of layers by over $4 \\mathbf { x }$ to gain less than $2 \\%$ Top-1 accuracy improvement on ImageNet (Russakovsky et al., 2015). Compression techniques, such as knowledge distillation, pruning, low rank approximation and quantization, have been proposed to reduce the model size (Vapnik & Izmailov, 2015; Han et al., 2015; Sainath et al., 2013; Courbariaux et al., 2015). These compression techniques are evolving the field of model compression towards the goal of deploying DNN models on mobile-phone and other embedded devices. ", + "bbox": [ + 174, + 520, + 825, + 659 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Courbariaux et al. (2015) proposed the widely used technique for training quantized neural networks, where binary weights are used during forward and backward propagation, while full precision weights are preserved for accumulating gradients. Binary weights are approximated from full precision weights every iteration. (Zhou et al., 2018; 2017a) have proposed incremental quantization training procedure where the range for the weights is incrementally reduced. Choi et al. (2017) use Hessian weighted $\\mathbf { k }$ -means clustering for quantization. Lee & Kim (2018) used iterative procedure of quantizing, de-quantizing and complete retraining of the full precision model, performed multiple times. All the techniques aimed to reduce the quantization error (error between full precision model and corresponding quantized model). However, most of these quantization techniques either adds extra set of hyper-parameters or modifies/lengthens the original training procedure. ", + "bbox": [ + 174, + 666, + 825, + 805 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Designing a neural network model consists of two main steps - choose a proper architecture/model given the characteristics of the task, and optimize the hyper-parameters for convergence and accuracy. Hyper-parameter search varies from number of layers in a model (Zoph et al., 2018) to learning rate (lr), batch-size (bs) combo (compare ResNet (He et al., 2016) and Inception (Szegedy et al., 2016) networks with altogether different hyper-parameter set). Courbariaux et al. (2015) requires updating the back-propagation procedure to train quantized networks. (Zhou et al., 2018; Lee & Kim, 2018) require very long training time because of multiple iterations of training and extra introduced hyper-parameters. Over time, focus on reducing the model size and the corresponding inference latency has led to either lengthening or major modifications to training procedure. Our Proposed quantization technique addresses these issues resulting in easy adoption of our technique. ", + "bbox": [ + 174, + 813, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our contributions include but are not limited to ", + "bbox": [ + 174, + 138, + 482, + 154 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• A simple quantization training method based on re-training without requiring major modifications to the original training procedure. Training consists of two phases: phase1 trains the full precision model (with quantization) and phase2 trains the binary model constructed by phase1. \n• Reduce the overhead of expensive quantization techniques as quantization is performed only every few steps (specifically once every 500 iterations for the experiments). \nMaintained the total number of iterations and time required to train the quantized network compared to the full precision network. \n• Achieve full precision accuracy for WikiText-2 and CIFAR dataset with 2-bit and 1-bit quantization respectively. Present a hybrid 1.5 bits LSTM models for WikiText-2 outperforming TWN LSTM model. Achieve performance comparable to existing works for ImageNet. ", + "bbox": [ + 215, + 164, + 825, + 343 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 363, + 344, + 378 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Quantization. Courbariaux et al. (2015) proposed the idea of training binary neural networks with quantized weights. Rastegari et al. (2016) introduced shared scaling factors to allow more range for binary values. (Hubara et al., 2016; Zhou et al., 2016; Lin et al., 2017; McDonnell, 2018; Hubara et al., 2018) built upon the training methodology along with introduction of binary activation units. Lee & Kim (2018) performs full precision retraining multiple times to train a quantized network. Ternary quantization was proposed (Zhu et al., 2017; Li et al., 2016; Wang et al., 2018) to mitigate the gap between full precision and quantized weight networks. Let $\\mathbf { W } ~ \\in ~ \\mathbb { R } ^ { k \\times c \\times f \\times f }$ represent a weight of a convolution layer $l$ with total n elements where $k , c , f$ represents output channels, input channels and size of the filter respectively. Rastegari et al. (2016) splits $\\boldsymbol { \\mathsf { W } }$ into binary weight $\\mathsf { B } ^ { \\mathsf { ^ { * } } } \\in \\{ - 1 , + 1 \\} ^ { k \\times c \\times f \\times f }$ and scaling factor $\\pmb { \\alpha } \\in \\mathbb { R } ^ { + k }$ shared per output, where ", + "bbox": [ + 173, + 393, + 825, + 534 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/b9f34009408bf8f1938d24218d344e2ede5abdb2d8838b401276801d0a09b05b.jpg", + "text": "$$\n\\begin{array} { r } { \\mathbf { B } = \\mathrm { s i g n } ( \\mathbf { W } ) \\qquad \\mathbf { \\alpha } \\mathbf { \\alpha } = \\langle \\mathbf { B } , \\mathbf { W } \\rangle / n } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 387, + 536, + 611, + 554 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "obtained by minimizing $\\| \\boldsymbol { \\mathsf { W } } - \\alpha \\boldsymbol { \\mathsf { B } } \\| ^ { 2 }$ . Binary quantization is extended to ternary where ${ \\textbf { \\textsf { B } } } \\in$ $\\{ - 1 , 0 , + 1 \\} ^ { n \\times c \\times k \\times k }$ . Ternary quantization introduces a threshold factor $\\triangle _ { l }$ to assign the ternary value to a weight. (Li et al., 2016; Zhu et al., 2017; Wang et al., 2018) have proposed various methodologies to evaluate the threshold. Lee & Kim (2018) performed ternary quantization by combining pruning and binary quantization. ", + "bbox": [ + 173, + 558, + 825, + 630 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Binary quantization was extended to multi-bit quantization using a greedy methodology by Guo et al. (2017). For k-bit quantization, minimizing $\\| \\hat { \\pmb { \\mathsf { W } } } _ { i } - \\pmb { \\alpha } _ { i } \\pmb { \\mathsf { B } } _ { i } \\|$ for $\\mathrm { i ^ { \\mathrm { t h } } }$ bit quantization resulted in, ", + "bbox": [ + 173, + 635, + 825, + 667 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/53b936d9d13bf0e9e5c5e58c3e35b6fa48a68ba4b8029bf7aaa8c3300cfd2f39.jpg", + "text": "$$\n\\mathbf { B } _ { i } = \\mathrm { s i g n } ( \\hat { \\mathsf { W } } _ { i } ) \\qquad \\quad \\alpha _ { i } = \\langle \\bar { \\mathbf { B } } _ { i } , \\hat { \\mathsf { W } } _ { i } \\rangle / n \\qquad \\mathrm { w h e r e } \\ \\hat { \\mathsf { W } } _ { i } = \\mathsf { W } - \\sum _ { j = 1 } ^ { i - 1 } \\alpha _ { j } \\mathsf { B } _ { j }\n$$", + "text_format": "latex", + "bbox": [ + 254, + 670, + 740, + 715 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "referred as the greedy approach. Greedy approach was improved by refined method, where $\\alpha _ { i }$ is computed by using $( ( \\bar { \\mathbf { B } } _ { i } ^ { \\bar { T } } \\bar { \\mathbf { B } } _ { i } ) ^ { - 1 } \\mathbf { B } _ { i } ^ { T } \\mathbf { W } ) ^ { T }$ . Xu et al. (2018) improved refined method by performing a binary search on the given refined $\\alpha$ set and alternately evaluating $_ { \\pmb { \\alpha } }$ and $\\mathsf { B }$ . Low precision networks have also been proposed to reduce the gap with quantized activation units (Zhuang et al. (2018)). Quantization has also been applied to RNNs and Long Short Term Memory (LSTM) models as well (Hou et al. (2017); Guo et al. (2017); Zhou et al. (2017b); Xu et al. (2018); Lee & Kim (2018)). We use greedy quantization in this work due to its simple operations (although alternating yields the better results at the cost of higher computation overhead). Next section describes our quantization training procedure in detail. ", + "bbox": [ + 173, + 717, + 825, + 845 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3 ITERATIVE QUANTIZATION ", + "text_level": 1, + "bbox": [ + 176, + 864, + 429, + 881 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Choromanska et al. (2015) shows that minima of high quality (measured by test accuracy) for largesize networks occur in a well-defined band. Choromanska et al. (2015) also conjectured that training using methods like stochastic gradient descent, simulated annealing converges to a minimum in the band. Minima in the band can have varying flatness, where flat minima have smaller error introduced to the accuracy upon adding distortion to the weight (Hochreiter & Schmidhuber (1995)). However, exploring through multiple minima has been a challenging task. Simulated annealing1 (Kirkpatrick et al., 1983) explores through various minima, but does not aim to find wider minima. Motivated from simulated annealing, we propose a training technique to enable exploration of wider minimum among multiple minima. The technique allows escaping from relatively sharper minima and aims to find wider minima in the band. Our training procedure consists of two phases. Phase1 trains the full precision network with quantization. Phase2 fine-tunes the binary network obtained from phase1. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/9efa46e16b18fee62c60b979af66244a91330ef53ccc53fb6f3a2e243ae747cb.jpg", + "image_caption": [ + "Figure 1: (a) Quantization Training algorithm (b) Convergence of accuracy using step training (Phase1) for ResNet32 on CIFAR-10 dataset. " + ], + "image_footnote": [], + "bbox": [ + 174, + 116, + 491, + 323 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/84024054c2c1e3286f40377cbf68edc35652c29b9ba3de8895c2ef2d7eb3ecd4.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 498, + 113, + 808, + 313 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 391, + 825, + 517 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 PHASE1: STEP TRAINING ", + "text_level": 1, + "bbox": [ + 176, + 536, + 392, + 551 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The goal of phase1 is to produce a full precision model with optimized B and reduced quantization error (error between full precision and quantized model). Phase1 does not modify the original training procedure. Instead, in addition to the original training, phase1 just adds an extra distortion step using quantization (referred as quantized-distortion step), performed once every few iterations. Applying quantized-distortion to the weights consists of 3 parts - quantize the weights of each layer (quantization), convert the quantized weights back to full precision format (de-quantization), and update the full precision model with the de-quantized weights. Quantized-distortion is performed once every Quantized Step Size (QSS) iterations. Original training procedure combined with quantization-distortion is referred as Step Training (Figure 1a). Step training is performed in phase1 until the convergence of training (in principle). ", + "bbox": [ + 174, + 563, + 825, + 703 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Full precision training of the network for QSS iterations explores the curvature of the local convex surface of the current local minimum. Applying quantized-distortion post-training moves the model to the quantized lattice point on the training contour. Suppose that the quantized lattice point exist outside the curvature around a sharp minimum. Then, the network escapes such sharper minima in phase1. In contrast to existing quantization training methods, step training does not store quantized weights. Instead, step training updates and replaces full precision weights with their quantized version every few iterations. ", + "bbox": [ + 174, + 709, + 825, + 806 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Quantization Step Size. QSS determines the amount of retraining to be done between two quantized-distortion steps. QSS needs to be big enough to compensate for the error added by the distortion and let the network explore the current local curvature. However, QSS should not be too large to diverge the weights far away from a nearby quantized lattice point. Comparing big vs small QSS - big QSS allows the weights to explore farther allowing the binary representation of the weights to change (weights need large amount of updates to change their sign). On the other hand, small QSS allows the training to exploit the current local curvature and fine-tune $_ { \\pmb { \\alpha } }$ . ", + "bbox": [ + 174, + 814, + 825, + 869 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/68e711244922900fd4ad02d10085b063fa5b367094411f95821593a9c36ebdba.jpg", + "image_caption": [ + "Figure 2: (left) Histogram of bit flips for all the weights of ResNet32 for CIFAR-10. (right) weights flipping their signs over the course of step training. Weight is randomly chosen from layer 30 of ResNet32 for CIFAR-10. Larger learning rate allows for more exploration and flipping of weights while small learning rate allows for fine-tuning and final convergence. " + ], + "image_footnote": [], + "bbox": [ + 176, + 99, + 803, + 272 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 364, + 821, + 407 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We observe that for a training procedure with fixed learning rate, starting with a big QSS and reducing QSS over the training period results in better convergence. However, the same behavior can be approximated with a fixed QSS and a varying learning rate. Figure 1b shows the movement of accuracy using step training with step-wise reducing learning rate and fixed QSS for ResNet32 on CIFAR-10. Larger learning rate enables larger amount of updates (and hence more curvature exploration) given the same gradient from the back propagation (fluctuations in the accuracy). On the other hand, smaller learning rate helps exploit (fine-tune the parameters inside the current minimum) as shown by a smoother rise in accuracy. Hence, we use fixed QSS (500 iterations) in the rest of the manuscript, although one can use varying QSS for further fine-tuning. ", + "bbox": [ + 173, + 414, + 825, + 540 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Convergence of B. We observe that B converges earlier compared to $_ { \\pmb { \\alpha } }$ during step training. Such an observation is demonstrated in our experiment with step training for CIFAR-10 with ResNet32. Figure 2 shows the movement of weight with step training2. Initially, the sign bits of the weight flip frequently (with higher learning rate). However, with smaller learning rate (after 80K iterations for CIFAR-10), B do not change and only $_ { \\pmb { \\alpha } }$ is optimized. ", + "bbox": [ + 173, + 546, + 825, + 617 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Convergence of $_ { \\pmb { \\alpha } }$ . Let $\\pmb { \\mathsf { W } }$ be a tensor of full precision weights with n elements. $\\boldsymbol { \\mathsf { W } }$ is quantized into $\\mathsf { B }$ (binary tensor) and $_ { \\pmb { \\alpha } }$ (shared scaling factors). Step training updates $\\boldsymbol { \\mathsf { W } }$ every iteration. On the other hand, $( \\boldsymbol { \\mathsf { B } } , \\alpha )$ are calculated every QSS iterations. Let $\\triangle \\boldsymbol { \\mathsf { W } }$ denote the total update accumulated for $\\boldsymbol { \\mathsf { W } }$ since the last distortion step. Let $\\triangle \\alpha$ denote the change between the new $_ { \\pmb { \\alpha } }$ and the $_ \\alpha$ calculated at previous distortion step. For binary quantization, the updated $_ \\alpha$ is given by", + "bbox": [ + 173, + 622, + 825, + 694 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/20483eca492402aa9188d2b11075e62ebf252e1aca80e7879eda811f79faccbc.jpg", + "text": "$$\n\\pmb { \\alpha } + \\triangle \\pmb { \\alpha } = \\frac { 1 } { n } \\sum \\vert \\pmb { W } + \\triangle \\pmb { W } \\vert\n$$", + "text_format": "latex", + "bbox": [ + 398, + 698, + 599, + 728 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $| . |$ is the absolute function. Starting from a common absolute quantized value $( \\alpha )$ , the weights sharing the same $\\alpha$ update independently $( \\forall i , j w _ { i } , w _ { j } \\in \\mathbf { W }$ , $\\partial w _ { i } / \\bar { \\partial } w _ { j } = 0 ,$ ). With large QSS, as the weights diverge from $\\alpha$ , the update for $\\alpha$ becomes inefficient and noisy. Although phase1 results in optimized $\\mathbf { B }$ , phase1 does not completely optimize $_ { \\pmb { \\alpha } }$ (within the limited number of iterations). Need for improved convergence of $_ { \\pmb { \\alpha } }$ forms the motivation for phase2. ", + "bbox": [ + 174, + 733, + 825, + 803 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 PHASE2: $_ { \\pmb { \\alpha } }$ TRAINING ", + "text_level": 1, + "bbox": [ + 176, + 819, + 369, + 834 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Phase2 starts by converting the full precision trained model from phase1 to the corresponding binary model. The full precision weights $\\boldsymbol { \\mathsf { W } }$ in phase1 are replaced with the corresponding binary version, $_ \\alpha$ and $\\mathsf { B }$ in the model. $\\mathbf { B }$ is fixed and only $_ { \\pmb { \\alpha } }$ is trained. Phase2 only constructs the binary model and does not construct the full precision model. Phase2 is faster compared to phase1 due to fewer training parameters, use of binary weights, and no quantized-distortion step. Phase2 is performed with a smaller learning rate after the bit-flips do not occur anymore in phase1. Similar to phase1, phase2 also uses the original training procedure but with fewer number of trainable parameters. ", + "bbox": [ + 174, + 844, + 825, + 887 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 160 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In the complete training procedure, we first perform phase1 followed by phase2. The trained binary model at the end of phase2 represents the output of the complete training procedure. This complete training procedure uses the same number of iterations as that in the original training procedure. As a result, the total training time combining phase1 and phase2 is equivalent to the original full precision training time. ", + "bbox": [ + 174, + 166, + 825, + 236 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 SPECIAL CARE FOR CNNS", + "text_level": 1, + "bbox": [ + 176, + 255, + 400, + 268 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "This section compares different ways to apply quantization on a 4D tensor kernel. Quantization for a 2D weight matrix $W$ with n elements outputs a binary 2D matrix $B \\in \\{ - 1 , + 1 \\} ^ { n }$ and shared scaling factor $_ \\alpha$ per row of $W$ . All the weights in a row share the same $\\alpha$ , where $\\alpha \\in \\alpha$ . Further, a row in the matrix can be split into $t$ sub-rows (referred as tables), where each table has a different $\\alpha$ . For quantizing a 4D tensor kernel $\\pmb { \\mathsf { W } } \\in \\mathbb { R } ^ { k \\times \\overset { \\cdot } { c } \\times f \\times f }$ in a convolution layer, $\\boldsymbol { \\mathsf { W } }$ is reshaped to 2D matrix $\\dot { W } \\in \\mathbb { R } ^ { k \\times c f f }$ (Rastegari et al., 2016) $k$ is the number of output features, $c$ is the number of inputs features and $f$ is the filter size). There are total $k \\alpha$ , each shared by $c \\times f \\times f$ number of weights. Each output feature in the convolution layer has $c \\times f \\times f$ weights. Thus, there is only 1 $\\alpha$ shared by all the weights for an output feature. As the quantized weights can only take the value of $\\left\\{ + \\alpha , - \\alpha \\right\\}$ , all the inputs for an output feature can only be weighted by the same absolute factor $\\alpha$ . Hence, the representative power of the quantized network is limited. ", + "bbox": [ + 173, + 281, + 825, + 434 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To alleviate this problem, we convert the 4D tensor $\\boldsymbol { \\mathsf { W } }$ to 2D matrix differently. $\\pmb { \\mathsf { W } }$ is transposed to $f \\times k \\times c \\times f$ and then reshaped to 2D matrix $\\mathbb { R } ^ { f \\times k c f }$ (referred as skewed matrix). Next, each row of size $k \\times c \\times f$ is split into $k / f$ sub-rows. Each sub-row has a different $\\alpha$ . Total number of $\\alpha$ remains the same as above $( k )$ . Furthermore, the inputs for an output feature can now be weighted by $f$ number of unique $\\alpha$ . Note that some $\\alpha$ will be shared among different output features as well. In our experiments, skewed matrix shows better results. Section 5.1 shows the benefit in accuracy using the skewed matrix for quantization. ", + "bbox": [ + 174, + 440, + 825, + 540 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 K-MEANS LOSS AND SHUFFLING ", + "text_level": 1, + "bbox": [ + 176, + 560, + 478, + 577 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "This section aims to limit the divergence of weights from each other during training to get more accurate estimation of $\\alpha$ . $L _ { 2 }$ regularization (in the form of $L _ { 2 }$ loss) is frequently used in training of neural networks. $L _ { 2 }$ loss prevents the weights from exploding and suppresses the magnitude of the weights. However, $L _ { 2 }$ loss does apply any restriction on the variance of the weights. As $_ \\alpha$ is obtained using Equation 1, higher variance in weights results in higher quantization error. We aim to reduce quantization error by introducing $L _ { K M }$ loss function to reduce the variance of the weights. Let $\\boldsymbol { \\mathsf { W } } _ { i }$ represent all the weights in a layer $i$ . Let $\\mathbf { \\pmb { w } } \\in \\mathbb { W } _ { i }$ be a subset of weights sharing common $\\alpha$ ( $\\pmb { w }$ are referred as clusters from now). The new loss is represented as: ", + "bbox": [ + 173, + 593, + 825, + 704 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/67a426cac740a417707576bd6f0c89a633214ad475fe994e0577f9a5d7c56e35.jpg", + "text": "$$\nL _ { K M } = \\frac { c } { \\| \\mathbf { W } \\| ^ { 0 } } \\sum _ { \\forall \\pmb { w } \\in \\mathbb { W } } \\| \\pmb { w } - \\mathrm { a v g } ( | \\pmb { w } | ) \\| ^ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 366, + 712, + 632, + 748 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where c is a constant, $\\mathrm { a v g ( . ) }$ computes the average of the inputs. $L _ { K M }$ divides the weights $\\boldsymbol { \\mathsf { W } }$ into different clusters $\\pmb { w }$ with common $\\alpha$ and limits the divergence of weights from the cluster average of its absolute values $_ { \\pmb { \\alpha } }$ . $L _ { K M }$ restricts the independent movement of weights. Similar with $L _ { 2 }$ loss, a diverged weight increases the $L _ { K M }$ . In addition, a diverged weight also shifts the cluster average, increasing the $L _ { K M }$ loss further. Thus $L _ { K M }$ encourages a lower variance in the weights with common $\\alpha$ and improve quantization as a result. The constant factor $c$ is set to be the same as weight decay rate (the constant for $L _ { 2 }$ loss is reduced to mitigate the effect of $L _ { 2 }$ ). ", + "bbox": [ + 174, + 762, + 823, + 861 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Shuffling. $L _ { K M }$ can be extended for multiple tables, where a row of a quantized matrix has multiple shared $_ { \\pmb { \\alpha } }$ . With multiple tables, let $\\textbf { \\em w }$ correspond to a subset of row, where the subset shares the common $\\alpha$ . $L _ { K M }$ helps in better approximation for $_ \\alpha$ by forcing a predetermined group of weights to exhibit low variance. We could also achieve a better approximation for $_ { \\pmb { \\alpha } }$ by re-arranging the weights so that similar values are grouped together. Note that rearranging is applicable for DNNs with multiple tables only. ", + "bbox": [ + 174, + 867, + 823, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Let the weight matrix between two fully connected layers $l ^ { i }$ and $l ^ { i - 1 }$ be represented by $W ^ { i , i - 1 }$ . Two nodes in a layer $l ^ { i }$ given as $l _ { j } ^ { i }$ and $l _ { k } ^ { i }$ can be swapped by switching the rows $j , k$ of weight matrix $W ^ { i , i - 1 }$ and the columns $j , k$ of $W ^ { i + 1 , i }$ . The layout of the weight matrix can be set to cluster the desired weights without impacting the output of the network. Swapping the nodes in layer $l ^ { i }$ , $l ^ { i - 1 }$ swaps the rows and columns of $\\breve { W } ^ { i , i - 1 }$ respectively. Thus, nodes in each layer can be swapped independently. K-means clustering is used to find an optimized configuration of weights in terms of grouping similar values together first. And then the nodes in the layer are swapped to enforce such configuration, reducing the quantization error. The methodology of finding and applying the optimal swapping configuration is termed as shuffling of nodes. ", + "bbox": [ + 174, + 138, + 825, + 267 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Because applying shuffling of nodes to the current layer requires a layer before and after the current layer, we introduce a shuffle layer in the start and end of the network to allow shuffling in first and last layer of the network. The shuffle layer stores the shuffle configuration and behaves as a mapping layer. The overhead of the shuffle layer is less than $1 \\%$ of the model size (same as the size of bias in a layer). Shuffling is applied in the weight distortion step in phase1, when quantizing the weights. ", + "bbox": [ + 174, + 273, + 825, + 343 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 363, + 326, + 380 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Experiments are performed with CNNs and RNNs to show the effectiveness of the proposed method. All the experiments are performed using Tensorflow (Abadi et al., 2016) using 2 Titan X GPUs. Full precision models for CNNs are obtained from tensorflow models repository3, while RNN models are obtained from Verwimp et al. $( 2 0 1 7 ) ^ { 4 }$ . We quantize all the layers of the network unless specified otherwise. Iterative quantization training is performed on pre-trained full precision models. Greedy quantization using Equation 1 is used for all the experiments. Quantization Step Size is set to 500 constant throughout all the experiments. ", + "bbox": [ + 174, + 395, + 825, + 493 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5.1 CIFAR ", + "text_level": 1, + "bbox": [ + 174, + 510, + 264, + 523 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "ResNet32 is trained on CIFAR-10 (Krizhevsky, 2009) for $9 0 \\mathrm { k }$ iterations, where the first $6 0 \\mathrm { k }$ iterations are performed using step training and remaining 30k iterations are performed with $_ \\alpha$ training. $60 \\%$ pruning rate is set for ternary quantization. Training ResNet32 using our proposed quantization training method does not incur any increase in training time. ", + "bbox": [ + 176, + 535, + 823, + 592 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Table 1 shows the improvement by combining the techniques discussed in previous sections in an incremental manner for ResNet32. We use the $k \\alpha$ for quantization following Rastegari et al. (2016) as default quantization mode $k$ is the number of output features for a convolution layer). Different QSS schedules were tried where QSS starts with a high value and is reduced over the training procedure. QSS schedule produces better accuracy compared to fixed QSS for step training. Note that, however, $_ \\alpha$ training eliminates the need to fine-tune over the QSS and achieves the same accuracy. Number of tables for skewed mode have been set to have the same model size as default mode (resulting in the same number of $\\alpha$ ). ", + "bbox": [ + 174, + 598, + 825, + 710 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Table 2 provides our final accuracy for CIFAR dataset with all the techniques combined using ResNet32 and WideResNet 28-10 models $7 0 \\mathrm { x }$ bigger model size compared to ResNet32). Our model provides similar performance compared to TTQ (Zhu et al., 2017) using ResNet32. Our method achieves full precision accuracy for WideResNet 28-10 on both CIFAR-10 and CIFAR-100, compared to the results by McDonnell (2018) without changing the training procedure. We believe that WideResNet demonstrates smaller quantization error than ResNet32 because Li et al. (2018) reported that wider networks facilitates flatter minima. ", + "bbox": [ + 174, + 717, + 825, + 814 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5.2 WIKITEXT-2 ", + "text_level": 1, + "bbox": [ + 174, + 832, + 303, + 845 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "LSTM model with 1 layer consisting of 512 nodes is used for WikiText-2 (Merity et al., 2017) dataset, with same hyper-parameter settings as followed by Xu et al. (2018). Performance is measured with Perplexity Per Word metric (PPW). Full precision PPW is 100.2. Activation quantization requires quantization to be performed every iteration for inference, wiping out the speed up obtained with quantized weights for inference. Activation quantization slows down training as well. Thus, we use 32bit activations while 3bit activations used by $\\mathrm { X u }$ et al. (2018). Our 2-bit alternating quantization (greedy quantization replaced with alternating quantization in our proposed method) reaches full precision PPW (Table 3). ", + "bbox": [ + 176, + 858, + 821, + 886 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/d24ea0cfa34e1c3ee566487db07e36eaca4ebacef32e24d9cfe00aec088b1804.jpg", + "table_caption": [ + "Table 1: Accuracy improvement by each method incrementally for ResNet32 on CIFAR-10. " + ], + "table_footnote": [], + "table_body": "
ConfigAccuracy %
Full Precision92.47
Binary Step Training (BST)88.18
BST without pre-trained88.09
Ternary Step Training (TST)89.27
TST + QSS schedule90.45
TST +α training90.4
TST + skewed matrix91.3
TST+ skewed matrix + L KM91.8
TST+ skewed matrix +LKM +α training92.36
", + "bbox": [ + 295, + 132, + 702, + 275 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/18073ab7fbaafbd8af0aa1fe9b3373f6e3264d0efc00743f74c0d57f27a67a7e.jpg", + "table_caption": [ + "Table 2: Accuracy Comparison for CIFAR using ResNet32 and WideResNet for TWN and binary models. TTQ: Zhu et al. (2017) (TWN model), Wide-1b: McDonnell (2018) (binary model) " + ], + "table_footnote": [], + "table_body": "
ConfigAccuracy %
CIFAR-10ResNet32CIFAR-10WideResNetCIFAR-100WideResNet
OursTTQOursWide-1bOursWide-1b
FullPrecision92.4792.339595.7778.381.37
Binary Model92.3692.3795.0295.5478.381.06
", + "bbox": [ + 186, + 347, + 813, + 421 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 458, + 825, + 542 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 3 compares the accuracy for multi-table models (multiple $\\alpha$ per row of the matrix to be quantized) with TWN model (TWN method from Li et al. (2016) combined with our training method). Our multi-table model (8 tables for Embedding and Softmax layer, 16 tables for LSTM layer) combined with $L _ { K M }$ loss function generates PPW equivalent to TWN PPW. Multi-table model accounts to 1.5 bits per weight in total (after accumulating all the $_ { \\pmb { \\alpha } }$ and $\\textbf { { B } }$ ). Applying $L _ { K M }$ reduces the model size by $2 5 \\%$ from TWN (2 bit) to 1.5 bits with equivalent PPW. We also perform 1 bit quantization reaching 128.18 PPW. ", + "bbox": [ + 173, + 549, + 825, + 646 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Hybrid LSTM. In the WikiText-2 LSTM model, Embedding and Softmax layer each forms over $45 \\%$ of the full precision model size. Therefore, we selectively optimize the number of quantization bits for each layer to achieve higher compression rate. 1 bit quantization was found to be sufficient for Embedding layer. However, other layers required more number of bits. We fix 1bit quantization for Embedding layer (1 table per row), TWN for Softmax layer and vary the number of quantization bits for LSTM layer. Using 2bit for LSTM layer (1.53 bits per weight in total) provides PPW better than our TWN greedy model, with $2 5 \\%$ smaller model size. ", + "bbox": [ + 173, + 654, + 825, + 751 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.3 ABLATION STUDY ", + "text_level": 1, + "bbox": [ + 176, + 776, + 336, + 790 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Random Initialization. The distribution of bit-flips and convergence of accuracy for step training with randomly initialized model and with pre-trained model is observed to be similar (Figure 2). The accuracy gap between Binary Step Training model with pre-trained model and BST without pre-trained model less than $0 . 1 \\%$ (Table 1). ", + "bbox": [ + 174, + 804, + 823, + 861 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "One-Step Quantization. We experiment the degradation in accuracy with just one-step quantization (no retraining). ResNet32 with full precision accuracy of $9 2 . 4 7 \\%$ on CIFAR-10 produces $4 4 . 3 3 \\%$ accuracy. To examine the potential of $L _ { K M }$ , ResNet32 is again trained with random initialization in full precision mode with $L _ { K M }$ (without any form of quantization). Although, the full precision accuracy drops to $9 1 . 8 \\%$ , one-step quantization accuracy goes up to $7 6 . 3 2 \\%$ . Increasing the regularization constant for $L _ { K M }$ yields the one-step quantization accuracy as $8 4 . 5 1 \\%$ . ", + "bbox": [ + 174, + 867, + 823, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/0e58a4860fce26f5d8922f4999317687b4139067659c3e62d7b0673d81cb4cd3.jpg", + "table_caption": [ + "Table 3: Comparison of Perplexity Per Word (PPW) for LSTM models on WikiText-2 dataset. Multitable models use 1 quantization bit with multiple tables (8 tables ( $8 \\alpha$ per row) for Embedding and Softmax layer, 16 tables for LSTM layer). Hybrid models use 1 bit quantization for Embedding layer and TWN quantization for Softmax layer. 2 to 4 quantization bits for LSTM layer provides 1.53 to 1.65 bits per weight models. Results for Guo et al. (2017) are taken from Xu et al. (2018). " + ], + "table_footnote": [], + "table_body": "
2-bit modelsPPW1.5-bits modelsPPWHybrid modelsPPW
Guo et al. (2017)105.8Multi-table117.131.53 bit108.1
Xu et al. (2018)102.7Multi-table + L KM115.261.6 bit105.46
Our Greedy104.15Multi-table + Shuffle116.081.65 bit103.58
Our Alternating100.3TWN115.05
", + "bbox": [ + 194, + 188, + 803, + 262 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/3c0e918568e96f68641283b56f10737ad4ab3e85f6f8ff408cf34a721bc39b8e.jpg", + "table_caption": [ + "Table 4: Robustness of Step Training to Quantization Step Size for CIFAR-10 with ResNet32. Accuracy varies within a range of $3 \\%$ with QSS ranging from 10 to 2500. " + ], + "table_footnote": [], + "table_body": "
Quantization Step Size105010050010002500500010000
Accuracy %86.7788.0388.9789.1588.8886.5283.0178.54
", + "bbox": [ + 191, + 324, + 810, + 357 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 388, + 823, + 416 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Robustness. Table 4 shows the robustness of iterative quantization with varying QSS over $2 \\mathbf { x }$ in the order of magnitudes. As explained in section 3.1, varying learning rate can provide the same functionality as varying QSS. As most of the modern neural networks use special learning rate policy (such as exponential decay, step-wise decay), the training procedure is overall robust to the choice of QSS. The simplicity of the algorithm and robustness to the added hyper-parameter facilitate quick adoption of our proposed technique. ", + "bbox": [ + 173, + 422, + 825, + 507 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.4 IMAGENET ", + "text_level": 1, + "bbox": [ + 174, + 523, + 292, + 537 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Full precision ResNet18 is trained on ImageNet (Russakovsky et al., 2015) following the base repository3 with batch size of 256. Our binary model reaches $6 0 . 6 \\%$ Top1 accuracy compared to full precision accuracy of $6 9 . 6 \\%$ (Table 5). Our model shows comparable accuracy compared to existing quantization methods. We believe our model can reach higher accuracy by using layer-by-layer quantization as done by Zhou et al. (2018). ", + "bbox": [ + 174, + 549, + 825, + 619 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.5 QUANTIZATION OVERHEAD ", + "text_level": 1, + "bbox": [ + 176, + 636, + 406, + 651 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Let training time per iteration be defined as the combined time to perform forward-propagation and back-propagation on a batch of data. We evaluate the overhead of performing a quantization step once relative to the defined training time per iteration. All the timings are averaged over 1000 iterations, averaged over ResNet32 and WideResNet. We observed that overhead of using greedy quantization is the lowest $8 \\%$ and $12 \\%$ of the training time for 1bit and 2bit quantization). More sophisticated quantization methods using regression or iterative procedures, namely refined and alternating quantization, have overhead of ${ 5 } \\mathbf { x }$ and $4 0 \\mathrm { x }$ respectively over the training time. Table 3 compares the benefit of using these quantization methods, where alternating quantization shows the best performance despite the biggest overhead. As our training method, unlike existing methods, performs quantization once every 500 iterations, the overhead of the quantization is reduced by $5 0 0 \\mathrm { x }$ . As a result, the overhead of the most expensive quantization remains to be $10 \\%$ of the training time. ", + "bbox": [ + 173, + 662, + 825, + 761 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/350b367884a52a507dfe4d589b97fe434bf5f7ad5bf08c1120aded00f2117568.jpg", + "table_caption": [ + "Table 5: Accuracy Comparison for Imagenet using ResNet18 for 1 bit quantization. " + ], + "table_footnote": [], + "table_body": "
ConfigTop1 Accuracy
Full Precision69.6
Li et al. (2016) Dong et al. (2017)57.5 58.36
Our binary model60.6
Rastegari et al. (2016)60.8
Zhou et al. (2018)64.72
", + "bbox": [ + 352, + 814, + 643, + 916 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 172 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 174, + 194, + 315, + 209 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this work, we have presented an iterative quantization technique performing quantization once every few steps, combined with binary model $_ { \\pmb { \\alpha } }$ training. Step training explores flatter minima while escaping sharp minima and $_ \\alpha$ training performs exploitation of the chosen minima. We also presented a loss function $L _ { K M }$ which allows weights to be adjusted for improved quantization. We demonstrated full precision accuracy recovery with CIFAR and WikiText-2 dataset with our quantized models. We also presented a hybrid model with 1.5 bits performing better than the our TWN model. 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", + "bbox": [ + 176, + 829, + 823, + 872 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Barret Zoph, Vijay Vasudevan, Jonathon Shlens, and Quoc V. Le. Learning transferable architectures for scalable image recognition. In The IEEE Conference on Computer Vision and Pattern Recognition (CVPR), June 2018. ", + "bbox": [ + 174, + 882, + 823, + 924 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 98, + 349, + 125 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A UPDATE TO $\\pmb { \\alpha }$ IN PHASE2 ", + "text_level": 1, + "bbox": [ + 176, + 148, + 421, + 166 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "For lower learning rates, as $\\mathbf { B }$ are fixed, $( w \\cdot ( w + \\triangle w ) ) > 0 )$ , where $w \\in \\mathbb { W }$ . Equation 3 is correspondingly updated to - ", + "bbox": [ + 173, + 180, + 825, + 209 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/a5f6743feccb2a196122b04932566f23062c985f32a223750a99f168d4bc3f12.jpg", + "text": "$$\n\\alpha + \\triangle \\alpha = \\frac { 1 } { n } \\sum | \\boldsymbol { \\mathsf { W } } + \\triangle \\boldsymbol { \\mathsf { W } } | = \\frac { 1 } { n } \\sum | \\boldsymbol { \\mathsf { W } } | + \\frac { 1 } { n } \\sum \\triangle \\boldsymbol { \\mathsf { W } } \\circ \\boldsymbol { \\mathsf { B } }\n$$", + "text_format": "latex", + "bbox": [ + 294, + 213, + 705, + 244 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "whewre $\\circ$ is Hadamard product. Equation 5 shows that updates to $\\boldsymbol { \\mathsf { W } }$ are directly merged into $_ \\alpha$ (after $\\mathsf { B }$ has converged). Thus, the training procedure for quantization with low learning rate can be more efficient by optimizing $_ { \\pmb { \\alpha } }$ only, compared with optimizing both $\\mathbf { B }$ and $_ { \\pmb { \\alpha } }$ . Phase2 presents such an efficient optimization method. ", + "bbox": [ + 174, + 247, + 825, + 304 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 324, + 372, + 340 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "We provide more details on the training procedure for the networks for all the datasets. ", + "bbox": [ + 176, + 356, + 740, + 371 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B.1 CIFAR ", + "text_level": 1, + "bbox": [ + 174, + 386, + 267, + 401 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "CIFAR dataset consists of 50000 training images with 10000 test images. Each image is of size $3 2 \\mathrm { x } 3 2 $ . CIFAR-10 dataset classifies the corpus of images into 10 disjoint classes. CIFAR-100 classifies the image set into 100 fine-grained disjoint classes. ", + "bbox": [ + 174, + 412, + 823, + 454 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "ResNet. ResNet32 and WideResNet 28-10 were both trained for 90k iterations with batch size of 128. Step-wise decay learning schedule was used. With initial learning rate of 0.1, learning rate was decayed with 0.1 at 40k, 60k and $8 0 \\mathrm { k }$ iterations each. Momentum training optimizer was used for training with momentum set 0.9. 0.0005 was set as weight decay rate. Training was pre-processed with random cropping and random horizontal flipping. Evaluation data was pre-processed with a single central crop only. Quantization Step Size was set as 500 during step training. ", + "bbox": [ + 174, + 462, + 825, + 545 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Pruning. ResNet32 was pruned with $60 \\%$ as the final sparsity, with an initial sparsity of $20 \\%$ . Pruning was started with a pre-trained model. Pruning was gradually increased at en exponential rate (exponential factor of 3) with the pruning being performed every 100 iterations. Re-training for pruning for performed for 40k iterations. ", + "bbox": [ + 174, + 553, + 825, + 608 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B.2 WIKITEXT-2 ", + "text_level": 1, + "bbox": [ + 174, + 625, + 307, + 638 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "WikiText-2 contains 2088k training, $2 1 7 \\mathrm { k }$ validation and $2 4 5 \\mathrm { k }$ test tokens, with a vocabulary of $3 3 \\mathrm { k }$ words. The model for Wikitext-2 consisted of 1 LSTM layer with 512 units. Initial learning rate was set as 20. Learning rate was decayed by 1.2 every 2 epochs. Training was terminated once the learning rate was less than 0.001 or maximum of 80 epochs was reached. The absolute gradient norm was set at 0.25. The network was unrolled for 30 time steps. Training was performed with a dropout ratio of 0.5. Weights were clipped to an absolute maximum of 1.0. Quantization Step Size was set as 500 during step training. ", + "bbox": [ + 174, + 650, + 825, + 748 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Divergence with Greedy Quantization. Using greedy quantization with 2bit quantization for LSTM model always diverged the training with WikiText-2 dataset. To make the model converge up to some extent, we used 1bit quantized model as an initialization for 2 bit quantization. Although, 1bit initialized model converges for a few epochs but also diverges after 10-15 epochs. The results reported in Table 3 for 2 bit greedy quantization follow initializing with 1bit quantized model. The divergence in network with greedy quantization is the reason for using TWN for Softmax layer (and not 2bit quantization) in our hybrid model. ", + "bbox": [ + 174, + 756, + 825, + 853 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B.3 IMAGENET ", + "text_level": 1, + "bbox": [ + 174, + 869, + 295, + 883 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "ImageNet consists of 1281176 training images with 50000 validation images, classified into 1000 classes. ResNet18 network was used for training. Training data was pre-processed with random cropping and random horizontal flipping. However, validation data was pre-processed with 1 single central crop. Step-wise decay learning rate schedule was followed with initial learning rate of 0.1 and decayed at epochs 30, 60, 80 and 90 by a factor of 0.1. The complete training procedure was performed for 100 epochs with a batch size of 256. Momentum training optimizer was used for training with momentum set 0.9. 0.0005 was set as weight decay rate. Quantization Step Size was set as 500 during step training. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 11 + }, + { + "type": "image", + "img_path": "images/73277cf427dd67f429e415fddfe65da591c214b27b974e4c03867158a607437c.jpg", + "image_caption": [ + "Figure 3: Comparing different skewed and default quantization mode (Rastegari et al., 2016) with multiple tables. Skewed quantization mode converts a 4d tensor $\\pmb { \\mathsf { W } } \\in \\dot { \\mathbb { R } } ^ { k \\times c \\times \\overline { { f } } \\times f }$ into $\\scriptstyle { \\dot { \\mathbb { R } } } ^ { f \\times k c { \\dot { f } } }$ , and default quantization mode convert into $\\mathbb { R } ^ { k \\times c f f }$ (where $\\mathbf { k }$ is number of output features, c is number of input features, fxf is the filter size). For a kernel of shape $1 2 8 \\mathrm { x } 1 2 8 \\mathrm { x } 3 \\mathrm { x } 3$ , skewed mode with 42 tables has a memory footprint equivalent to default quantization mode. " + ], + "image_footnote": [], + "bbox": [ + 171, + 99, + 825, + 257 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/3c3929a73913a80050e31aafdfa3617efadbbe83b1c7b3299e53703e85418861.jpg", + "image_caption": [ + "(a) Performing node shuffling for a layer in DNN " + ], + "image_footnote": [], + "bbox": [ + 187, + 354, + 485, + 508 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/1b85d376c9dfd6f6002d72152e2beaef16033d2c4562de5ebd89991d13c9241c.jpg", + "image_caption": [ + "(b) Performing node shuffling for the first layer of DNN ", + "Figure 4: Performing node shuffling for a layer in DNN. (a) Node shuffling for a layer in between 2 layers is performed by switching the row and columns of the previous and next weight matrix. (b) Node shuffling for the first layer of DNN is performed using shuffle layer. Shuffle layer maps the input to match the shuffling order with a very small overhead. Shuffle layers can also be added for RNN/LSTM layer to performing shuffling of layers independently in the weight matrices of RNN/LSTM layer. " + ], + "image_footnote": [], + "bbox": [ + 514, + 356, + 813, + 501 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 645, + 825, + 729 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B.4 BATCH NORMALIZATION ", + "text_level": 1, + "bbox": [ + 176, + 746, + 390, + 761 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Batch normalization (Ioffe & Szegedy, 2015) parameters ( $\\dot { \\mu }$ and $\\sigma$ ) are updated using moving average. Consequently, the effect of quantized-distortion performed even 100 iterations earlier would have less than $1 \\%$ effect on the BN parameters (with momentum $_ { 1 = 0 . 9 9 }$ ). As a result, BN parameters are not suited well for quantized model and results in drop in evaluation accuracy for the quantized model. To avoid the drop in evaluation accuracy by BN, the BN parameters are re-evaluated over 1 train epoch (keeping the other parameters fixed) before performing evaluation for the phase1. Phase2 does not require any special care for batch normalization as there is no distortion step. ", + "bbox": [ + 173, + 772, + 825, + 871 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/c892c49c74078cf42dc5647d606d620fd63b4825293fda0d9187f135f44be412.jpg", + "image_caption": [ + "Figure 5: Convergence of weight when training using Step Training. Compares two scenarios where (a) bit flips once and (b) bit does not flips during the course of step training. Step training was performed for ResNet32 using CIFAR-10 dataset. " + ], + "image_footnote": [], + "bbox": [ + 176, + 166, + 818, + 363 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/7a02a71403592d5c16fcd2c4ec56d1bef8bf13ede36e2b5580b75ec4aafde3b6.jpg", + "image_caption": [ + "Figure 6: (a) Shows the convergence of quantization error with decrease in learning rate. The distance between consecutive quantization weights (QSS iterations apart) and distance between corresponding full precision weights is also shown. Distance between consecutive quantization weights is directly correlated with the number of weight flips (Figure 2). (b) Shows the movement of loss with step training for ResNet32 using CIFAR-10 dataset. The loss rises for the last learning rate as distortion causes more damage compared what training with the small learning rate can repair. " + ], + "image_footnote": [], + "bbox": [ + 174, + 560, + 813, + 757 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/049edc2e340afc9f908558269628d7c9b4890e713e6e9441db9e635ba16d3af2.jpg", + "image_caption": [ + "Figure 7: (a) Shows the same behavior of histogram of total bit flips for step training with or without pre-trained model for ResNet32 with CIFAR-10 dataset. (b) Parametric 1-D plots as described in (Goodfellow et al., 2015; Keskar et al., 2017). $Q _ { i }$ denote the weight set after performing quantizeddistortion for the $\\mathrm { i ^ { \\mathrm { t h } } }$ time while performing step training. $F P _ { i }$ correspond to the full precision weight set just before performing the $\\mathrm { i ^ { \\mathrm { t h } } }$ quantized-distortion. The plot is for cross entropy along a line segment containing the two points. Specifically for $a \\in [ 0 , 1 ]$ , we plot $f ( a Q _ { i } + ( 1 - a ) F \\bar { P _ { i } } )$ . The same is plotted for $F P _ { i }$ and $Q _ { i + 1 }$ . " + ], + "image_footnote": [], + "bbox": [ + 176, + 150, + 808, + 343 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/35f987ee67e7abacf49740d2d9f50aeca7c8b89ee96f645f5233f04a60623a88.jpg", + "image_caption": [ + "Figure 8: (a) Parametric 1-D plots quantized weight sets at different learning rates while performing step training. Step training is performed with $1 6 0 \\mathrm { k }$ iterations, with learning rate decayed by 0.1 every 40k steps to investigate the effects of 4 different learning rates. All the quantized points are sampled randomly at different iterations at different learning rate. $Q _ { 1 }$ is obtained at learning rate 0.1, $Q _ { 2 }$ at 0.01, $Q _ { 3 }$ at 0.001 and $Q _ { 4 }$ at 0.0001. (b) Starting from these quantized weight sets, the model is retrained using full precision training method for the remainder of the iterations. This retraining gives us $F P _ { 1 } , F P _ { 2 } , F P _ { 3 } , F P _ { 4 }$ . The rise in the loss function along the path between two full precision points shows the existence of full precision weights in different local minimum. " + ], + "image_footnote": [], + "bbox": [ + 176, + 558, + 808, + 750 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/8db582feabec0a018824c60442d0efadba8dc1e50e9634e31cce9873fa939a86.jpg", + "image_caption": [ + "Figure 9: Distribution of weights of the WikiText-2 LSTM model for full precision and quantized trained model. " + ], + "image_footnote": [], + "bbox": [ + 174, + 397, + 815, + 588 + ], + "page_idx": 15 + } +] \ No newline at end of file diff --git a/parse/train/SyxnvsAqFm/SyxnvsAqFm_middle.json b/parse/train/SyxnvsAqFm/SyxnvsAqFm_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..1ab898e855ff1db6f44c6b211185e64b9a162671 --- /dev/null +++ b/parse/train/SyxnvsAqFm/SyxnvsAqFm_middle.json @@ -0,0 +1,42496 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 78, + 504, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 77, + 505, + 99 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 505, + 99 + ], + "score": 1.0, + "content": "COMPUTATION-EFFICIENT QUANTIZATION METHOD", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 98, + 341, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 98, + 341, + 118 + ], + "score": 1.0, + "content": "FOR DEEP NEURAL NETWORKS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 136, + 244, + 157 + ], + "lines": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "spans": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "spans": [ + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 278, + 186, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 214, + 468, + 357 + ], + "lines": [ + { + "bbox": [ + 141, + 214, + 469, + 227 + ], + "spans": [ + { + "bbox": [ + 141, + 214, + 469, + 227 + ], + "score": 1.0, + "content": "Deep Neural Networks, being memory and computation intensive, are a chal-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 226, + 470, + 238 + ], + "spans": [ + { + "bbox": [ + 141, + 226, + 470, + 238 + ], + "score": 1.0, + "content": "lenge to deploy in smaller devices. 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We present a non-intrusive quantization technique based on", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 269, + 470, + 282 + ], + "spans": [ + { + "bbox": [ + 141, + 269, + 470, + 282 + ], + "score": 1.0, + "content": "re-training the full precision model, followed by directly optimizing the corre-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 280, + 470, + 293 + ], + "spans": [ + { + "bbox": [ + 141, + 280, + 470, + 293 + ], + "score": 1.0, + "content": "sponding binary model. The quantization training process takes no longer than", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 291, + 469, + 304 + ], + "spans": [ + { + "bbox": [ + 141, + 291, + 469, + 304 + ], + "score": 1.0, + "content": "the original training process. We also propose a new loss function to regular-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 302, + 470, + 315 + ], + "spans": [ + { + "bbox": [ + 141, + 302, + 470, + 315 + ], + "score": 1.0, + "content": "ize the weights, resulting in reduced quantization error. Combining both help us", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 313, + 470, + 326 + ], + "spans": [ + { + "bbox": [ + 141, + 313, + 470, + 326 + ], + "score": 1.0, + "content": "achieve full precision accuracy on CIFAR dataset using binary quantization. We", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "score": 1.0, + "content": "also achieve full precision accuracy on WikiText-2 using 2 bit quantization. Com-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 335, + 470, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 335, + 470, + 347 + ], + "score": 1.0, + "content": "parable results are also shown for ImageNet. We also present a 1.5 bits hybrid", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 345, + 437, + 358 + ], + "spans": [ + { + "bbox": [ + 141, + 345, + 437, + 358 + ], + "score": 1.0, + "content": "model exceeding the performance of TWN LSTM model for WikiText-2.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 108, + 385, + 205, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 385, + 208, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 208, + 401 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "score": 1.0, + "content": "Different variants of Deep Neural Networks have achieved state-of-the-art results in various domains", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "from computer vision to language processing (Krizhevsky et al., 2012; Ren et al., 2015; Vaswani", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "et al., 2017; Cho et al., 2014). However, newer models are becoming more memory and computation", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "intensive to achieve performance improvements. For example, winner of ILSVRC 2015 ResNet", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 455, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 340, + 470 + ], + "score": 1.0, + "content": "(He et al., 2016) increased the number of layers by over", + "type": "text" + }, + { + "bbox": [ + 340, + 457, + 352, + 467 + ], + "score": 0.36, + "content": "4 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 455, + 423, + 470 + ], + "score": 1.0, + "content": "to gain less than", + "type": "text" + }, + { + "bbox": [ + 424, + 457, + 439, + 467 + ], + "score": 0.84, + "content": "2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 455, + 505, + 470 + ], + "score": 1.0, + "content": "Top-1 accuracy", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 467, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 505, + 480 + ], + "score": 1.0, + "content": "improvement on ImageNet (Russakovsky et al., 2015). 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These compression techniques are evolving the field of model compression towards the goal", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 511, + 403, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 403, + 524 + ], + "score": 1.0, + "content": "of deploying DNN models on mobile-phone and other embedded devices.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 528, + 505, + 638 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "Courbariaux et al. (2015) proposed the widely used technique for training quantized neural net-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "score": 1.0, + "content": "works, where binary weights are used during forward and backward propagation, while full preci-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "sion weights are preserved for accumulating gradients. Binary weights are approximated from full", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "precision weights every iteration. (Zhou et al., 2018; 2017a) have proposed incremental quantization", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 571, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 104, + 571, + 506, + 586 + ], + "score": 1.0, + "content": "training procedure where the range for the weights is incrementally reduced. Choi et al. (2017) use", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 179, + 596 + ], + "score": 1.0, + "content": "Hessian weighted", + "type": "text" + }, + { + "bbox": [ + 180, + 583, + 186, + 593 + ], + "score": 0.3, + "content": "\\mathbf { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "-means clustering for quantization. Lee & Kim (2018) used iterative procedure", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "of quantizing, de-quantizing and complete retraining of the full precision model, performed multiple", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 618 + ], + "score": 1.0, + "content": "times. All the techniques aimed to reduce the quantization error (error between full precision model", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "and corresponding quantized model). However, most of these quantization techniques either adds", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 627, + 441, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 441, + 640 + ], + "score": 1.0, + "content": "extra set of hyper-parameters or modifies/lengthens the original training procedure.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 107, + 644, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 656 + ], + "score": 1.0, + "content": "Designing a neural network model consists of two main steps - choose a proper architecture/model", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "given the characteristics of the task, and optimize the hyper-parameters for convergence and ac-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 104, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "curacy. 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(Zhou et al., 2018; Lee", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "& Kim, 2018) require very long training time because of multiple iterations of training and extra", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 734 + ], + "score": 1.0, + "content": "introduced hyper-parameters. 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Numerous quantization techniques have been", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 140, + 236, + 470, + 249 + ], + "spans": [ + { + "bbox": [ + 140, + 236, + 470, + 249 + ], + "score": 1.0, + "content": "proposed to reduce the inference latency/memory consumption. However, these", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 247, + 470, + 261 + ], + "spans": [ + { + "bbox": [ + 141, + 247, + 470, + 261 + ], + "score": 1.0, + "content": "techniques impose a large overhead on the training procedure or need to change", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 258, + 470, + 272 + ], + "spans": [ + { + "bbox": [ + 141, + 258, + 470, + 272 + ], + "score": 1.0, + "content": "the training process. We present a non-intrusive quantization technique based on", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 269, + 470, + 282 + ], + "spans": [ + { + "bbox": [ + 141, + 269, + 470, + 282 + ], + "score": 1.0, + "content": "re-training the full precision model, followed by directly optimizing the corre-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 280, + 470, + 293 + ], + "spans": [ + { + "bbox": [ + 141, + 280, + 470, + 293 + ], + "score": 1.0, + "content": "sponding binary model. The quantization training process takes no longer than", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 291, + 469, + 304 + ], + "spans": [ + { + "bbox": [ + 141, + 291, + 469, + 304 + ], + "score": 1.0, + "content": "the original training process. We also propose a new loss function to regular-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 302, + 470, + 315 + ], + "spans": [ + { + "bbox": [ + 141, + 302, + 470, + 315 + ], + "score": 1.0, + "content": "ize the weights, resulting in reduced quantization error. Combining both help us", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 313, + 470, + 326 + ], + "spans": [ + { + "bbox": [ + 141, + 313, + 470, + 326 + ], + "score": 1.0, + "content": "achieve full precision accuracy on CIFAR dataset using binary quantization. We", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 324, + 470, + 336 + ], + "score": 1.0, + "content": "also achieve full precision accuracy on WikiText-2 using 2 bit quantization. Com-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 335, + 470, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 335, + 470, + 347 + ], + "score": 1.0, + "content": "parable results are also shown for ImageNet. We also present a 1.5 bits hybrid", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 345, + 437, + 358 + ], + "spans": [ + { + "bbox": [ + 141, + 345, + 437, + 358 + ], + "score": 1.0, + "content": "model exceeding the performance of TWN LSTM model for WikiText-2.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 11, + "bbox_fs": [ + 140, + 214, + 470, + 358 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 385, + 205, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 385, + 208, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 208, + 401 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "score": 1.0, + "content": "Different variants of Deep Neural Networks have achieved state-of-the-art results in various domains", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "from computer vision to language processing (Krizhevsky et al., 2012; Ren et al., 2015; Vaswani", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "et al., 2017; Cho et al., 2014). 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For example, winner of ILSVRC 2015 ResNet", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 455, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 340, + 470 + ], + "score": 1.0, + "content": "(He et al., 2016) increased the number of layers by over", + "type": "text" + }, + { + "bbox": [ + 340, + 457, + 352, + 467 + ], + "score": 0.36, + "content": "4 \\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 455, + 423, + 470 + ], + "score": 1.0, + "content": "to gain less than", + "type": "text" + }, + { + "bbox": [ + 424, + 457, + 439, + 467 + ], + "score": 0.84, + "content": "2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 455, + 505, + 470 + ], + "score": 1.0, + "content": "Top-1 accuracy", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 467, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 505, + 480 + ], + "score": 1.0, + "content": "improvement on ImageNet (Russakovsky et al., 2015). Compression techniques, such as knowledge", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 491 + ], + "score": 1.0, + "content": "distillation, pruning, low rank approximation and quantization, have been proposed to reduce the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "model size (Vapnik & Izmailov, 2015; Han et al., 2015; Sainath et al., 2013; Courbariaux et al.,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "2015). 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Achieve performance comparable to existing works for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 261, + 188, + 275 + ], + "spans": [ + { + "bbox": [ + 141, + 261, + 188, + 275 + ], + "score": 1.0, + "content": "ImageNet.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 108, + 288, + 211, + 300 + ], + "lines": [ + { + "bbox": [ + 104, + 286, + 213, + 303 + ], + "spans": [ + { + "bbox": [ + 104, + 286, + 213, + 303 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 312, + 505, + 423 + ], + "lines": [ + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "score": 1.0, + "content": "Quantization. Courbariaux et al. 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(Hubara et al., 2016; Zhou et al., 2016; Lin et al., 2017; McDonnell, 2018; Hubara", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 344, + 505, + 359 + ], + "spans": [ + { + "bbox": [ + 104, + 344, + 505, + 359 + ], + "score": 1.0, + "content": "et al., 2018) built upon the training methodology along with introduction of binary activation units.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 356, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 104, + 356, + 505, + 370 + ], + "score": 1.0, + "content": "Lee & Kim (2018) performs full precision retraining multiple times to train a quantized network.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 366, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 104, + 366, + 506, + 381 + ], + "score": 1.0, + "content": "Ternary quantization was proposed (Zhu et al., 2017; Li et al., 2016; Wang et al., 2018) to mitigate", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 375, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 375, + 392, + 392 + ], + "score": 1.0, + "content": "the gap between full precision and quantized weight networks. 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Minima in the band can have varying flatness, where flat minima have smaller error introduced", + "type": "text", + "cross_page": true + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 331, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 331, + 506, + 347 + ], + "score": 1.0, + "content": "to the accuracy upon adding distortion to the weight (Hochreiter & Schmidhuber (1995)). However,", + "type": "text", + "cross_page": true + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 343, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 506, + 357 + ], + "score": 1.0, + "content": "exploring through multiple minima has been a challenging task. Simulated annealing1 (Kirkpatrick", + "type": "text", + "cross_page": true + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 355, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 367 + ], + "score": 1.0, + "content": "et al., 1983) explores through various minima, but does not aim to find wider minima. Motivated", + "type": "text", + "cross_page": true + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 365, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 506, + 380 + ], + "score": 1.0, + "content": "from simulated annealing, we propose a training technique to enable exploration of wider minimum", + "type": "text", + "cross_page": true + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 377, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 506, + 389 + ], + "score": 1.0, + "content": "among multiple minima. The technique allows escaping from relatively sharper minima and aims to", + "type": "text", + "cross_page": true + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "find wider minima in the band. Our training procedure consists of two phases. 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Step training is performed in", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 546, + 326, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 326, + 558 + ], + "score": 1.0, + "content": "phase1 until the convergence of training (in principle).", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 107, + 562, + 505, + 639 + ], + "lines": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "Full precision training of the network for QSS iterations explores the curvature of the local convex", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "surface of the current local minimum. 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Phase1 does not modify the original", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "training procedure. Instead, in addition to the original training, phase1 just adds an extra distor-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "score": 1.0, + "content": "tion step using quantization (referred as quantized-distortion step), performed once every few itera-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 490, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 506, + 504 + ], + "score": 1.0, + "content": "tions. Applying quantized-distortion to the weights consists of 3 parts - quantize the weights of each", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "score": 1.0, + "content": "layer (quantization), convert the quantized weights back to full precision format (de-quantization),", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 513, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 525 + ], + "score": 1.0, + "content": "and update the full precision model with the de-quantized weights. Quantized-distortion is per-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "formed once every Quantized Step Size (QSS) iterations. Original training procedure combined", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 534, + 505, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 548 + ], + "score": 1.0, + "content": "with quantization-distortion is referred as Step Training (Figure 1a). Step training is performed in", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 546, + 326, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 326, + 558 + ], + "score": 1.0, + "content": "phase1 until the convergence of training (in principle).", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 447, + 506, + 558 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 562, + 505, + 639 + ], + "lines": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "Full precision training of the network for QSS iterations explores the curvature of the local convex", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "surface of the current local minimum. Applying quantized-distortion post-training moves the model", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "to the quantized lattice point on the training contour. Suppose that the quantized lattice point exist", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 596, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 607 + ], + "score": 1.0, + "content": "outside the curvature around a sharp minimum. Then, the network escapes such sharper minima in", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "phase1. In contrast to existing quantization training methods, step training does not store quantized", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "weights. Instead, step training updates and replaces full precision weights with their quantized", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 630, + 221, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 221, + 640 + ], + "score": 1.0, + "content": "version every few iterations.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 49, + "bbox_fs": [ + 105, + 562, + 505, + 640 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 645, + 505, + 689 + ], + "lines": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "Quantization Step Size. QSS determines the amount of retraining to be done between two", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "quantized-distortion steps. QSS needs to be big enough to compensate for the error added by the", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 666, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 680 + ], + "score": 1.0, + "content": "distortion and let the network explore the current local curvature. However, QSS should not be", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "too large to diverge the weights far away from a nearby quantized lattice point. Comparing big vs", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "small QSS - big QSS allows the weights to explore farther allowing the binary representation of the", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 107, + 302, + 504, + 312 + ], + "spans": [ + { + "bbox": [ + 107, + 302, + 504, + 312 + ], + "score": 1.0, + "content": "weights to change (weights need large amount of updates to change their sign). 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(right) weights", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "flipping their signs over the course of step training. Weight is randomly chosen from layer 30 of", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 104, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "ResNet32 for CIFAR-10. Larger learning rate allows for more exploration and flipping of weights", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 257, + 388, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 388, + 271 + ], + "score": 1.0, + "content": "while small learning rate allows for fine-tuning and final convergence.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 108, + 289, + 503, + 323 + ], + "lines": [ + { + "bbox": [ + 106, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "small QSS - big QSS allows the weights to explore farther allowing the binary representation of the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 107, + 302, + 504, + 312 + ], + "spans": [ + { + "bbox": [ + 107, + 302, + 504, + 312 + ], + "score": 1.0, + "content": "weights to change (weights need large amount of updates to change their sign). On the other hand,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 312, + 443, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 430, + 324 + ], + "score": 1.0, + "content": "small QSS allows the training to exploit the current local curvature and fine-tune", + "type": "text" + }, + { + "bbox": [ + 430, + 314, + 439, + 322 + ], + "score": 0.64, + "content": "_ { \\pmb { \\alpha } }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 312, + 443, + 324 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 328, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 106, + 328, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 505, + 342 + ], + "score": 1.0, + "content": "We observe that for a training procedure with fixed learning rate, starting with a big QSS and re-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "score": 1.0, + "content": "ducing QSS over the training period results in better convergence. However, the same behavior can", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "be approximated with a fixed QSS and a varying learning rate. Figure 1b shows the movement of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "score": 1.0, + "content": "accuracy using step training with step-wise reducing learning rate and fixed QSS for ResNet32 on", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 372, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 506, + 386 + ], + "score": 1.0, + "content": "CIFAR-10. Larger learning rate enables larger amount of updates (and hence more curvature ex-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "ploration) given the same gradient from the back propagation (fluctuations in the accuracy). On the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "other hand, smaller learning rate helps exploit (fine-tune the parameters inside the current minimum)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 405, + 506, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 418 + ], + "score": 1.0, + "content": "as shown by a smoother rise in accuracy. Hence, we use fixed QSS (500 iterations) in the rest of the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 416, + 388, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 388, + 430 + ], + "score": 1.0, + "content": "manuscript, although one can use varying QSS for further fine-tuning.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 433, + 505, + 489 + ], + "lines": [ + { + "bbox": [ + 106, + 433, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 388, + 447 + ], + "score": 1.0, + "content": "Convergence of B. We observe that B converges earlier compared to", + "type": "text" + }, + { + "bbox": [ + 388, + 435, + 397, + 443 + ], + "score": 0.73, + "content": "_ { \\pmb { \\alpha } }", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 433, + 505, + 447 + ], + "score": 1.0, + "content": "during step training. 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(right) weights", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "flipping their signs over the course of step training. Weight is randomly chosen from layer 30 of", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 104, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "ResNet32 for CIFAR-10. Larger learning rate allows for more exploration and flipping of weights", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 257, + 388, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 388, + 271 + ], + "score": 1.0, + "content": "while small learning rate allows for fine-tuning and final convergence.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 108, + 289, + 503, + 323 + ], + "lines": [], + "index": 8, + "bbox_fs": [ + 106, + 289, + 505, + 324 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 328, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 106, + 328, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 505, + 342 + ], + "score": 1.0, + "content": "We observe that for a training procedure with fixed learning rate, starting with a big QSS and re-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 506, + 353 + ], + "score": 1.0, + "content": "ducing QSS over the training period results in better convergence. However, the same behavior can", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "be approximated with a fixed QSS and a varying learning rate. Figure 1b shows the movement of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "score": 1.0, + "content": "accuracy using step training with step-wise reducing learning rate and fixed QSS for ResNet32 on", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 372, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 506, + 386 + ], + "score": 1.0, + "content": "CIFAR-10. Larger learning rate enables larger amount of updates (and hence more curvature ex-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "ploration) given the same gradient from the back propagation (fluctuations in the accuracy). On the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "other hand, smaller learning rate helps exploit (fine-tune the parameters inside the current minimum)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 405, + 506, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 418 + ], + "score": 1.0, + "content": "as shown by a smoother rise in accuracy. 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Such", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "an observation is demonstrated in our experiment with step training for CIFAR-10 with ResNet32.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 454, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 505, + 469 + ], + "score": 1.0, + "content": "Figure 2 shows the movement of weight with step training2. Initially, the sign bits of the weight flip", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 466, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 505, + 479 + ], + "score": 1.0, + "content": "frequently (with higher learning rate). 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Hence, the representative power of the quantized network is limited.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 15, + "bbox_fs": [ + 104, + 223, + 507, + 345 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 349, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 106, + 350, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 314, + 362 + ], + "score": 1.0, + "content": "To alleviate this problem, we convert the 4D tensor", + "type": "text" + }, + { + "bbox": [ + 315, + 350, + 325, + 360 + ], + "score": 0.65, + "content": "\\boldsymbol { \\mathsf { W } }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 350, + 427, + 362 + ], + "score": 1.0, + "content": "to 2D matrix differently.", + "type": "text" + }, + { + "bbox": [ + 428, + 350, + 439, + 360 + ], + "score": 0.55, + "content": "\\pmb { \\mathsf { W } }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 350, + 505, + 362 + ], + "score": 1.0, + "content": "is transposed to", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 359, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 107, + 361, + 165, + 372 + ], + "score": 0.91, + "content": "f \\times k \\times c \\times f", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 359, + 294, + 374 + ], + "score": 1.0, + "content": "and then reshaped to 2D matrix", + "type": "text" + }, + { + "bbox": [ + 294, + 360, + 326, + 371 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { f \\times k c f }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 359, + 506, + 374 + ], + "score": 1.0, + "content": "(referred as skewed matrix). Next, each row", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 371, + 504, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 137, + 384 + ], + "score": 1.0, + "content": "of size", + "type": "text" + }, + { + "bbox": [ + 137, + 372, + 180, + 384 + ], + "score": 0.91, + "content": "k \\times c \\times f", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 371, + 230, + 384 + ], + "score": 1.0, + "content": "is split into", + "type": "text" + }, + { + "bbox": [ + 230, + 372, + 248, + 384 + ], + "score": 0.92, + "content": "k / f", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 371, + 414, + 384 + ], + "score": 1.0, + "content": "sub-rows. Each sub-row has a different", + "type": "text" + }, + { + "bbox": [ + 414, + 374, + 421, + 382 + ], + "score": 0.72, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 371, + 496, + 384 + ], + "score": 1.0, + "content": ". Total number of", + "type": "text" + }, + { + "bbox": [ + 496, + 374, + 504, + 382 + ], + "score": 0.74, + "content": "\\alpha", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 383, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 217, + 395 + ], + "score": 1.0, + "content": "remains the same as above", + "type": "text" + }, + { + "bbox": [ + 217, + 383, + 229, + 394 + ], + "score": 0.75, + "content": "( k )", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 383, + 505, + 395 + ], + "score": 1.0, + "content": ". 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Note that some", + "type": "text" + }, + { + "bbox": [ + 276, + 396, + 284, + 404 + ], + "score": 0.79, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "will be shared among different output features as well.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "In our experiments, skewed matrix shows better results. Section 5.1 shows the benefit in accuracy", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 416, + 273, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 273, + 429 + ], + "score": 1.0, + "content": "using the skewed matrix for quantization.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 350, + 506, + 429 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 444, + 293, + 457 + ], + "lines": [ + { + "bbox": [ + 105, + 444, + 294, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 294, + 458 + ], + "score": 1.0, + "content": "4 K-MEANS LOSS AND SHUFFLING", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 470, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 105, + 469, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 484 + ], + "score": 1.0, + "content": "This section aims to limit the divergence of weights from each other during training to get more", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 480, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 104, + 480, + 199, + 495 + ], + "score": 1.0, + "content": "accurate estimation of", + "type": "text" + }, + { + "bbox": [ + 199, + 483, + 207, + 491 + ], + "score": 0.66, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 480, + 212, + 495 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 213, + 482, + 225, + 492 + ], + "score": 0.85, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 480, + 349, + 495 + ], + "score": 1.0, + "content": "regularization (in the form of", + "type": "text" + }, + { + "bbox": [ + 349, + 482, + 362, + 492 + ], + "score": 0.89, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 480, + 506, + 495 + ], + "score": 1.0, + "content": "loss) is frequently used in training", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 188, + 505 + ], + "score": 1.0, + "content": "of neural networks.", + "type": "text" + }, + { + "bbox": [ + 189, + 492, + 201, + 503 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "loss prevents the weights from exploding and suppresses the magnitude of", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 201, + 515 + ], + "score": 1.0, + "content": "the weights. 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Shuffling is applied in the weight distortion step in phase1, when quantizing the weights.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "title", + "bbox": [ + 108, + 288, + 200, + 301 + ], + "lines": [ + { + "bbox": [ + 105, + 287, + 201, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 201, + 303 + ], + "score": 1.0, + "content": "5 EXPERIMENTS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 313, + 505, + 391 + ], + "lines": [ + { + "bbox": [ + 105, + 313, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 505, + 326 + ], + "score": 1.0, + "content": "Experiments are performed with CNNs and RNNs to show the effectiveness of the proposed method.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 325, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 505, + 337 + ], + "score": 1.0, + "content": "All the experiments are performed using Tensorflow (Abadi et al., 2016) using 2 Titan X GPUs. Full", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "precision models for CNNs are obtained from tensorflow models repository3, while RNN models", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 346, + 505, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 240, + 359 + ], + "score": 1.0, + "content": "are obtained from Verwimp et al.", + "type": "text" + }, + { + "bbox": [ + 240, + 346, + 271, + 358 + ], + "score": 0.45, + "content": "( 2 0 1 7 ) ^ { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 346, + 505, + 359 + ], + "score": 1.0, + "content": ". We quantize all the layers of the network unless specified", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 357, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 371 + ], + "score": 1.0, + "content": "otherwise. Iterative quantization training is performed on pre-trained full precision models. Greedy", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 369, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 506, + 381 + ], + "score": 1.0, + "content": "quantization using Equation 1 is used for all the experiments. 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Note", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 168, + 543 + ], + "score": 1.0, + "content": "that, however,", + "type": "text" + }, + { + "bbox": [ + 168, + 531, + 177, + 540 + ], + "score": 0.66, + "content": "_ \\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 529, + 506, + 543 + ], + "score": 1.0, + "content": "training eliminates the need to fine-tune over the QSS and achieves the same", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 541, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 552 + ], + "score": 1.0, + "content": "accuracy. 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We believe", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 623, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 505, + 635 + ], + "score": 1.0, + "content": "that WideResNet demonstrates smaller quantization error than ResNet32 because Li et al. 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ConfigAccuracy %
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TST +α training90.4
TST + skewed matrix91.3
TST+ skewed matrix + L KM91.8
TST+ skewed matrix +LKM +α training92.36
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ConfigAccuracy %
CIFAR-10ResNet32CIFAR-10WideResNetCIFAR-100WideResNet
OursTTQOursWide-1bOursWide-1b
FullPrecision92.4792.339595.7778.381.37
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2-bit modelsPPW1.5-bits modelsPPWHybrid modelsPPW
Guo et al. (2017)105.8Multi-table117.131.53 bit108.1
Xu et al. (2018)102.7Multi-table + L KM115.261.6 bit105.46
Our Greedy104.15Multi-table + Shuffle116.081.65 bit103.58
Our Alternating100.3TWN115.05
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Quantization Step Size105010050010002500500010000
Accuracy %86.7788.0388.9789.1588.8886.5283.0178.54
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ConfigTop1 Accuracy
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Rastegari et al. (2016)60.8
Zhou et al. (2018)64.72
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2-bit modelsPPW1.5-bits modelsPPWHybrid modelsPPW
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Quantization Step Size105010050010002500500010000
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We also presented a hybrid model with 1.5 bits performing better than the our", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 245, + 162, + 255 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 162, + 255 + ], + "score": 1.0, + "content": "TWN model.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 107, + 272, + 175, + 284 + ], + "lines": [ + { + "bbox": [ + 106, + 271, + 176, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 271, + 176, + 285 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 108, + 290, + 505, + 367 + ], + "lines": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "Mart´ın Abadi, Paul Barham, Jianmin Chen, Zhifeng Chen, Andy Davis, Jeffrey Dean, Matthieu", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 115, + 300, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 115, + 300, + 505, + 315 + ], + "score": 1.0, + "content": "Devin, Sanjay Ghemawat, Geoffrey Irving, Michael Isard, Manjunath Kudlur, Josh Levenberg,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 115, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 115, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "Rajat Monga, Sherry Moore, Derek G. 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Training was performed with a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 570, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 505, + 584 + ], + "score": 1.0, + "content": "dropout ratio of 0.5. Weights were clipped to an absolute maximum of 1.0. Quantization Step Size", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 581, + 249, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 249, + 595 + ], + "score": 1.0, + "content": "was set as 500 during step training.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 599, + 505, + 676 + ], + "lines": [ + { + "bbox": [ + 106, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "Divergence with Greedy Quantization. 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Guo et al. (2017)105.8Multi-table117.131.53 bit108.1
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ConfigTop1 Accuracy
Full Precision69.6
Li et al. (2016) Dong et al. (2017)57.5 58.36
Our binary model60.6
Rastegari et al. (2016)60.8
Zhou et al. (2018)64.72
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a/parse/train/WH0taVJii5_/WH0taVJii5__span.pdf b/parse/train/WH0taVJii5_/WH0taVJii5__span.pdf new file mode 100644 index 0000000000000000000000000000000000000000..844500f56a2684cf28fda4aecaf05b521fa74ce6 --- /dev/null +++ b/parse/train/WH0taVJii5_/WH0taVJii5__span.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:384cd62723e44639d84d0b58934255e71ac2960fe961110631b15d4b478f86a2 +size 702270 diff --git a/parse/train/YUEFlzlG_0c/YUEFlzlG_0c.md b/parse/train/YUEFlzlG_0c/YUEFlzlG_0c.md new file mode 100644 index 0000000000000000000000000000000000000000..4b518841c70cc41a636dd9f6f73307dbf38174ab --- /dev/null +++ b/parse/train/YUEFlzlG_0c/YUEFlzlG_0c.md @@ -0,0 +1,324 @@ +# Reliable Post hoc Explanations: Modeling Uncertainty in Explainability + +Dylan Slack +UC Irvine +dslack@uci.edu + +Sophie Hilgard Harvard University ash798@g.harvard.edu + +Sameer Singh UC Irvine sameer@uci.edu + +Himabindu Lakkaraju Harvard University hlakkaraju@hbs.edu + +# Abstract + +As black box explanations are increasingly being employed to establish model credibility in high stakes settings, it is important to ensure that these explanations are accurate and reliable. However, prior work demonstrates that explanations generated by state-of-the-art techniques are inconsistent, unstable, and provide very little insight into their correctness and reliability. In addition, these methods are also computationally inefficient, and require significant hyper-parameter tuning. In this paper, we address the aforementioned challenges by developing a novel Bayesian framework for generating local explanations along with their associated uncertainty. We instantiate this framework to obtain Bayesian versions of LIME and KernelSHAP which output credible intervals for the feature importances, capturing the associated uncertainty. The resulting explanations not only enable us to make concrete inferences about their quality (e.g., there is a $9 5 \%$ chance that the feature importance lies within the given range), but are also highly consistent and stable. We carry out a detailed theoretical analysis that leverages the aforementioned uncertainty to estimate how many perturbations to sample, and how to sample for faster convergence. This work makes the first attempt at addressing several critical issues with popular explanation methods in one shot, thereby generating consistent, stable, and reliable explanations with guarantees in a computationally efficient manner. Experimental evaluation with multiple real world datasets and user studies demonstrate that the efficacy of the proposed framework.1 + +# 1 Introduction + +As machine learning (ML) models get increasingly deployed in domains such as healthcare and criminal justice, it is important to ensure that decision makers have a clear understanding of the behavior of these models. However, ML models that achieve state-of-the-art accuracy are typically complex black boxes that are hard to understand. As a consequence, there has been a surge in post hoc techniques for explaining black box models [1–10]. Most popular among these techniques are local explanation methods which explain complex black box models by constructing interpretable local approximations (e.g., LIME [2], SHAP [4], MAPLE [11], Anchors [1]). Due to their generality, these methods are being leveraged to explain a number of classifiers including deep neural networks and ensemble models in a variety of domains such as law, medicine, and finance [12, 13]. + +Existing local explanation methods, however, suffer from several drawbacks. Explanations generated using these methods may be unstable [14–18], i.e., negligibly small perturbations to an instance can result in substantially different explanations. These methods are also inconsistent [19] i.e., multiple runs on the same input instance with the same parameter settings may result in vastly different explanations. There are also no reliable metrics to ascertain the quality of the explanations + +![](images/d47efc4990be75e69296fffac100fa38760e5883dfb996999588185ce3d0e586.jpg) +(b) Explanation with 2000 perturbations + +![](images/3f716bc0fdf329c8651b34a0ee8151d109ef2249803f50f834c077a2687e7548.jpg) +Figure 1: Example explanations on for an instance from the COMPAS dataset, where vertical lines indicate the feature importance by LIME (red is negative effect, green is positive) and the shaded region visualizes the uncertainty estimated by BayesLIME. While LIME produces very different and contradictory feature importance for different number of perturbations (1a and 1b), BayesLIME provides more context. The overlapping uncertainty intervals in the explanation computed with 100 perturbations (1a) indicate that it is unclear which feature is the most important. However, the tighter uncertainty intervals in the explanation computed with 2K perturbations (1b) clearly indicates that Female is the most important. + +(a) Explanation computed with 100 perturbations + +output by these methods. Commonly used metrics such as explanation fidelity rely heavily on the implementation details of the explanation method (e.g., the perturbation function used in LIME) and do not provide a true picture of the explanation quality [20]. Furthermore, there exists little to no guidance on determining the values of certain hyperparameters that are critical to the quality of the resulting local explanations (e.g., number of perturbations in case of LIME). Local explanation methods are also computationally inefficient i.e., they typically require a large number of black box model queries to construct local approximations [21]. This can be prohibitively slow especially in case of complex neural models. + +In this paper, we identify that modeling uncertainty in black box explanations is the key to addressing all the aforementioned challenges. To this end, we propose a novel Bayesian framework for generating local explanations along with their associated uncertainty. We instantiate this framework to obtain Bayesian versions of LIME and KernelSHAP, namely BayesLIME and BayesSHAP, that not only output point-wise estimates of feature importance but also their associated uncertainty in the form of credible intervals (See Figure 1). We derive closed form expressions for the posteriors of the explanations thereby eliminating the need for any additional computational complexity. The credible intervals produced by our framework not only allow us to make concrete inferences about the quality of the resulting explanations but also produce explanations that satisfy user specified levels of uncertainty (e.g., an end user may request for explanations that satisfy a certain $9 5 \%$ confidence level). In addition, the resulting explanations are also highly consistent and stable. To the best of our knowledge, this work makes the first attempt at addressing several critical challenges in popular explanation methods in one-shots, thereby generating consistent, stable, and reliable explanations with guarantees in a computationally efficient manner. + +We carry out theoretical analysis that leverages the measures of uncertainty (credible intervals) produced by our framework to estimate the values of critical hyperparameters. More specifically, we derive a closed form expression for the number of perturbations required to generate explanations that satisfy desired levels of confidence. We also propose a novel sampling technique called focused sampling that leverages uncertainty to determine how to sample perturbations for faster convergence, thereby enabling our framework to generate explanations in a computationally efficient manner. + +We evaluate the efficacy of the proposed framework on a variety of datasets including COMPAS, German Credit, ImageNet, and MNIST. Our results demonstrate that the explanations output by our framework are not only highly reliable, but also very consistent and stable $5 3 \%$ more stable than LIME/SHAP on an average). Our experimental results also confirm that we can accurately estimate the number of perturbations needed to generate explanations with a desired level of uncertainty, and that our uncertainty sampling technique speeds up the process of generating explanations by up to a factor of 2 relative to random sampling of perturbations. Lastly, we carry out a user study with 31 human subjects to evaluate the quality of the explanations generated by our framework, demonstrating that our explanations accurately capture the importance of the most influential features. + +# 2 Notation & Background + +Here we introduce notation and discuss two relevant prior approaches, LIME and KernelSHAP. + +Notation Let $f : \mathbb { R } ^ { d } [ 0 , 1 ]$ denote a black box classifier that takes a data point $x$ with $d$ features, and returns the probability that $x$ belongs to a certain class. Our goal is to explain individual predictions of $f$ . Let $\phi \in \mathbb { R } ^ { d }$ denote the explanation in terms of feature importances for the prediction $f ( x )$ , i.e. coefficients $\phi$ are treated as the feature contributions to the black box prediction. Note that $\phi$ captures the coefficients of a linear model. Let $\mathcal { Z }$ be a set of $N$ randomly sampled instances (perturbations) around $x$ . The proximity between $x$ and any $z \in { \mathcal { Z } }$ is given by $\pi _ { x } ( z ) \in \mathbb { R }$ . We denote the vector of these distances over the $N$ perturbations in $\mathcal { Z }$ as $\Pi _ { x } ( \hat { \mathcal { Z } } ) \in \mathbb { R } ^ { \mathrm { \tilde { \cal N } } }$ . Let $Y \in [ 0 , 1 ]$ be the vector of the black box predictions $f ( z )$ corresponding to each of the $N$ instances in $\mathcal { Z }$ . + +LIME [2] and KernelSHAP [4] are popular model-agnostic local explanation approaches that explain predictions of a classifier $f$ by learning a linear model $\phi$ locally around each prediction (i.e. $y \overset { \cdot } { \sim } \phi ^ { T } \overset { \cdot } { z } ,$ ). The objective function for both LIME and KernelSHAP constructs an explanation that approximates the behavior of the black box accurately in the vicinity (neighborhood) of $x$ . + +$$ +\underset { \phi } { \arg \operatorname* { m i n } } \sum _ { z \in \mathcal { Z } } [ f ( z ) - \phi ^ { T } z ] ^ { 2 } \pi _ { x } ( z ) . +$$ + +The above objective function has the following closed form solution: + +$$ +\hat { \phi } = ( \mathcal { Z } ^ { T } \mathrm { d i a g } ( \Pi _ { x } ( \mathcal { Z } ) ) \mathcal { Z } + \mathbb { I } ) ^ { - 1 } ( \mathcal { Z } ^ { T } \mathrm { d i a g } ( \Pi _ { x } ( \mathcal { Z } ) ) Y ) +$$ + +The main difference between LIME and KernelSHAP lies in how $\pi _ { x } ( z )$ is chosen. In LIME, it is chosen heuristically: $\pi _ { x } ( z )$ is computed as the cosine or $l _ { 2 }$ distance. KernelSHAP leverages game theoretic principles to compute $\pi _ { x } ( z )$ , guaranteeing that explanations satisfy certain properties. + +# 3 Our Framework: Bayesian Local Explanations + +In this section, we introduce our Bayesian framework which is designed to capture the uncertainty associated with local explanations of black box models. First, we discuss the generative process and inference procedure for the framework. Then, we highlight how our framework can be instantiated to obtain Bayesian versions of LIME and SHAP. Lastly, we present detailed theoretical analysis for estimating the values of critical hyperparameters, and discuss how to efficiently construct highly accurate explanations with uncertainty guarantees using our framework. + +# 3.1 Constructing Bayesian Local Explanations + +Our goal here is to explain the behavior of a given black box model $f$ in the vicinity of an instance $x$ while also capturing the uncertainty associated with the explanation. To this end, we propose a Bayesian framework for constructing local linear model based explanations and capturing their associated uncertainty. We model the black box prediction of each perturbation $z$ as a linear combination of the corresponding feature values $( \phi ^ { \dot { T } } z )$ plus an error term () as shown in Eqn (4). While the weights of the linear combination $\phi$ capture the feature importances and thereby constitute our explanation, $\epsilon$ captures the error that arises due to the mismatch between our explanation $\phi$ and the local decision surface of the black box model $f$ . Our complete generative process is shown below: + +$$ +\begin{array} { r l r } & { } & { y | z , \phi , \epsilon \sim \phi ^ { T } z + \epsilon \qquad \epsilon \sim \mathcal { N } ( 0 , \displaystyle \frac { \sigma ^ { 2 } } { \pi _ { x } ( z ) } ) } \\ & { } & { \phi | \sigma ^ { 2 } \sim \mathcal { N } ( 0 , \sigma ^ { 2 } \mathbb { I } ) \qquad \sigma ^ { 2 } \sim \mathrm { I n v } - \chi ^ { 2 } ( n _ { 0 } , \sigma _ { 0 } ^ { 2 } ) . } \end{array} +$$ + +The error term is modeled as a Gaussian whose variance relies on the proximity function $\pi _ { x } ( z )$ i.e., $\begin{array} { r } { \epsilon \sim \mathcal { N } ( 0 , \frac { \sigma ^ { 2 } } { \pi _ { x } ( z ) } ) } \end{array}$ . This proximity function ensures that perturbations closer to the data point $x$ are modeled accurately, while allowing more room for error in case of perturbations that are farther away. $\pi _ { x } ( z )$ can be computed using cosine or $l _ { 2 }$ distance or other game theoretic principles similar to that of LIME and KernelSHAP (see Section 2). The conjugate priors on $\phi$ and $\bar { \sigma } ^ { 2 }$ are shown in Eqn (4). Note that, the distributions on error $\epsilon$ and feature importance $\phi$ both consider the parameter $\sigma ^ { 2 }$ . The fact that the prior on the feature importances considers $\sigma ^ { 2 }$ has an intuitive interpretation: if we have prior knowledge that the error of the explanation is small, we expect to be more confident about the feature importances. Similarly, if we have prior knowledge the error is large, we expect to be less confident about the feature importances. + +Thus, our generative process corresponds to the Bayesian version of the weighted least squares formulation of LIME and KernelSHAP outlined in Eqn. (1), with additional terms to model uncertainty. As in Eqns. (4), the process captures two sources of uncertainty in local explanations: 1) feature importance uncertainty: the uncertainty associated with the feature importances $\phi$ , and (2) error uncertainty: the uncertainty associated with the error term $\epsilon$ which captures how well our explanation $\phi$ models the local decision surface of the underlying black box. + +Inference Our inference process involves estimating the values of two key parameters: $\phi$ and $\sigma ^ { 2 }$ . By doing so, we can compute the local explanation as well as the uncertainties associated with feature importances and the error term. Posterior distributions on $\phi$ and $\sigma ^ { 2 }$ are normal and scaled Inv- $\chi ^ { 2 }$ , respectively, due to the corresponding conjugate priors [22]: + +$$ +\begin{array} { r l } & { \sigma ^ { 2 } | \mathcal { Z } , Y \sim \mathrm { S c a l e d - I n v - } \chi ^ { 2 } \left( n _ { 0 } + N , \frac { n _ { 0 } \sigma _ { 0 } ^ { 2 } + N s ^ { 2 } } { n _ { 0 } + N } \right) } \\ & { \phi | \sigma ^ { 2 } , \mathcal { Z } , Y \sim \mathrm { N o r m a l } ( \hat { \phi } , V _ { \phi } \sigma ^ { 2 } ) } \end{array} +$$ + +Further, $\hat { \phi } , V _ { \phi }$ , and $s ^ { 2 }$ can be directly computed: + +$$ +\begin{array} { r l } & { \hat { \phi } = V _ { \phi } ( \mathcal { Z } ^ { T } \mathrm { d i a g } ( \Pi _ { x } ( \mathcal { Z } ) ) Y ) } \\ & { V _ { \phi } = \left( \mathcal { Z } ^ { T } \mathrm { d i a g } ( \Pi _ { x } ( \mathcal { Z } ) ) \mathcal { Z } + \mathbb { I } \right) ^ { - 1 } } \\ & { s ^ { 2 } = \displaystyle \frac { 1 } { N } \left[ ( Y - \mathcal { Z } \hat { \phi } ) ^ { T } \mathrm { d i a g } ( \Pi _ { x } ( \mathcal { Z } ) ) ( Y - \mathcal { Z } \hat { \phi } ) + \hat { \phi } ^ { T } \hat { \phi } \right] } \end{array} +$$ + +Details of the complete inference procedure including derivations of Eqns. (5-7) are provided in the Appendix A. Note that our estimate of the posterior mean feature importances $\hat { \phi }$ (Eqn. (6)) is the same as that of the feature importances computed in case of LIME and KernelSHAP (Eqn. (2)). + +Remark 3.1. If we use the same proximity function $\pi _ { x } ( z )$ in our framework as in LIME or KernelSHAP, the posterior mean of the feature importance $\hat { \phi }$ output by our framework $E q$ (6)) will be equivalent to the feature importances output by LIME or KernelSHAP, respectively. + +Feature Importance Uncertainty To obtain the local feature importances and their associated uncertainty, we first compute the posterior mean of the local feature importances $\hat { \phi }$ using the closed form expression in Eqn. (7). We then estimate the credible interval (measure of uncertainty) around the mean feature importances by repeatedly sampling from the posterior distribution of $\phi$ (Eq (5)). + +Error Uncertainty The error term $\epsilon$ can serve as a proxy for explanation quality because it captures the mismatch between the constructed explanation and the local decision surface of the underlying black box. We first calculate the marginal posterior distribution of $\epsilon$ by leveraging Eqn (4) and integrating out $\sigma ^ { 2 }$ . This results in a three parameter Student’s t distribution (derivation in appendix A): + +$$ +\epsilon | \mathcal { Z } , Y \sim t _ { ( \nu = n _ { 0 } + N ) } ( 0 , \frac { n _ { 0 } \sigma _ { 0 } ^ { 2 } + N s ^ { 2 } } { n _ { 0 } + N } ) . +$$ + +We then evaluate the probability density function (PDF) of the above posterior at 0, i.e., $P ( \epsilon = 0 )$ by substituting the value of $s ^ { 2 }$ computed using Eqn. (7) into the Student’s t distribution above (Eqn. (8)). The resulting expression gives us the probability density that the explanation output by our framework perfectly captures the local decision surface underlying the black box. This operation is performed in constant time, adding minimal overhead to non-Bayesian LIME and SHAP. We illustrate how these computed intervals capture the variance in the explanations in Figure 9. + +Proposition 3.2. As the number of perturbations around $x$ goes to $\infty$ i.e., $N \to \infty$ : $( l )$ the estimate of $\phi$ converges to the true feature importance scores, and its uncertainty to 0. (2) uncertainty of the error term  converges to the bias of the local linear model $\phi$ . [Details in Appendix B] + +BayesLIME and BayesSHAP Our framework can be instantiated to obtain the Bayesian version of LIME by setting the proximity function to $\pi _ { x } ( z ) = \exp ( - D ( x , z ) ^ { 2 } / \sigma ^ { 2 } )$ where $D$ is a distance metric + +(e.g. cosine or $l _ { 2 }$ distance), and $n _ { 0 }$ and $\sigma _ { 0 } ^ { 2 }$ to small values $( 1 0 ^ { - 6 } )$ so that the prior is uninformative. +We compute feature importance uncertainty and error uncertainty for LIME’s feature importances. + +Our framework can also be instantiated to obtain the Bayesian version of KernelSHAP by setting uninformative prior on $\sigma ^ { 2 }$ and d−1(d choose |z|)|z|(d−|z|) where |z| denotes the number of the variables in the variable combination represented by the data point $z$ i.e., the number of non-zero valued features in the vector representation of $z$ . Note that the original SHAP method views the problem of constructing a local linear model as estimating the Shapley values corresponding to each of the features [4]. These Shapley values represent the contribution of each of the features to the black box prediction i.e., $f ( x ) = \phi _ { 0 } + \sum \phi _ { i }$ . Therefore, the measures of uncertainty output by our method BayesSHAP capture the reliability of the estimated variable contributions. + +To encourage BayesLIME and BayesSHAP explanations to be sparse, we can use dimensionality reduction or feature selection techniques as used by LIME and SHAP to obtain the top K features [2, 4, 23]. We can then construct our explanations using the data corresponding to these top K features. + +# 3.2 Estimating the Number of Perturbations + +One of the major drawbacks of approaches such as LIME and KernelSHAP is that they do not provide any guidance on how to choose the number of perturbations, a key factor in obtaining reliable explanations in an efficient manner. To address this, we leverage the uncertainty estimates output by our framework to compute perturbations-to-go $( G )$ , an estimate of how many more perturbations are required to obtain explanations that satisfy a desired level of certainty. This estimate thus predicts the computational cost of generating an explanation with a desired level of certainty and can help determine whether it is even worthwhile to do so. The user specifies the confidence level of the credible interval (denoted as $\alpha$ ) and the maximum width of the credible interval $( W )$ , e.g. “width of $9 5 \%$ credible interval should be less than $0 . 1 ^ { \mathfrak { s } }$ corresponds to $\alpha = 0 . 9 5$ and $W = 0 . 1$ . To estimate $G$ for the local explanation of a data point $x$ , we first generate $S$ perturbations around $x$ (where $S$ is small and chosen by the user) and fit a local linear model using our method2. This provides initial estimates of various parameters shown in Eqns (5)-(7) which can then be used to compute $G$ . + +Theorem 3.3. Given $S$ seed perturbations, the number of additional perturbations required $( G )$ to achieve a credible interval width $W$ of feature importance for a data point $x$ at user-specified confidence level $\alpha$ can be computed as: + +$$ +G ( W , \alpha , x ) = \frac { 4 s _ { S } ^ { 2 } } { \bar { \pi } _ { S } \times \left[ \frac { W } { \Phi ^ { - 1 } ( \alpha ) } \right] ^ { 2 } } - S +$$ + +where $\bar { \pi } _ { S }$ is the average proximity $\pi _ { x } ( z )$ for the $S$ perturbations, $s _ { S } ^ { 2 }$ is the empirical sum of squared errors (SSE) between the black box and local linear model predictions, weighted by $\pi _ { x } ( z )$ , as in (7), and $\Phi ^ { - 1 } ( \alpha )$ is the two-tailed inverse normal CDF at confidence level $\alpha$ . + +Proof (Sketch). To estimate $G$ , we first relate $W$ and $\alpha$ to $\operatorname { V a r } ( \phi _ { i } )$ , the marginal variance of the feature importance3 for any feature $i$ , obtained by integrating out $\sigma ^ { 2 }$ . Because Student’s t can be approximated by a Normal distribution for large degrees of freedom (here, $S$ should be large enough), we use the inverse normal CDF to calculate credible interval width at level $\alpha$ . We compute $V _ { \phi }$ from (6) using $\mathcal { Z }$ , treating its entries as Bernoulli distributed with probability 0.5. Due to the covariance structure of this sampling procedure, the resulting variance estimate after $N$ samples is the sample SSE $s _ { S } ^ { 2 }$ scaled by $\approx \frac { 4 } { \hat { \pi } _ { S } N }$ (derivation in appendix B). If we assume SSE scales linearly with $S$ , we can take this to be a reasonable estimate of $s _ { N } ^ { 2 }$ at any $N$ . We can then estimate $G$ as + +$$ +\left[ \frac { W } { \Phi ^ { - 1 } ( \alpha ) } \right] ^ { 2 } = \mathrm { V a r } ( \phi _ { i } ) = \frac { 4 s _ { S } ^ { 2 } } { \bar { \pi } _ { S } \times ( G + S ) } \Longrightarrow G = \frac { 4 s _ { S } ^ { 2 } } { \bar { \pi } _ { S } \times \left[ \frac { W } { \Phi ^ { - 1 } ( \alpha ) } \right] ^ { 2 } } - S . +$$ + +# 3.3 Focused Sampling of Perturbations + +Perturbations-to-go $( G )$ provides us with an estimate of how many samples are required to achieve reliable explanations. However, if $G$ is large, querying the black-box model for its predictions on a large number of perturbations can be computationally expensive for larger models [24, 25]. To reduce this cost, we develop an alternative sampling procedure called focused sampling which leverages uncertainty estimates to query the black box in a more targeted fashion (instead of querying randomly), thereby reducing the computational cost associated with generating reliable explanations. Inspired by active learning [26], focused sampling strategically prioritizes perturbations whose predictions the explanation is most uncertain about, when querying the black box. This enables the focused sampling procedure to query the black box only for the predictions of the most informative perturbations and thereby learn an accurate explanation with far fewer queries to the black box. + +To determine how uncertain our explanation $\phi$ is about the black box label for any given instance $z$ , we first compute the posterior predictive distribution for $z$ (derivation in Appendix A), given as $\boldsymbol { \hat { y } } ( z ) | \mathcal { Z } , \boldsymbol { Y } \sim t _ { ( \mathcal { V } = N ) } ( \boldsymbol { \hat { \phi } } ^ { T } \boldsymbol { z } , ( \boldsymbol { z } ^ { T } V _ { \phi } \boldsymbol { z } + 1 ) \boldsymbol { s } ^ { 2 } )$ . The variance of this three parameter student’s t distribution is, + +$$ +\mathrm { v a r } ( \hat { y } ( z ) ) = ( ( z ^ { T } V _ { \phi } z + 1 ) s ^ { 2 } ) ( N / ( N - 2 ) ) +$$ + +We refer to this variance as the predictive variance $\mathrm { v a r } ( \hat { y } ( z ) )$ , and it captures how uncertain our explanation $\phi$ is about the black box prediction. + +The focus sampling procedure first fits the explanation with an initial $S$ perturbations (where $S$ is a small number). We then iterate the following procedure until the desired explanation certainty level is reached. We draw a batch of $A$ candidate perturbations, compute their predictive variance with the Bayesian explanation, and induce a distribution over the perturbations by running softmax on the variances with tempurature parameter $\tau$ . We draw a batch of $B$ perturbations from this distribution and query the black box model for their labels. Finally, we refit the Bayesian explanation on all the labeled perturbations collected so far. We provide pseudocode for the uncertainty sampling procedure in Algorithm 1. + +Algorithm 1 Focused sampling for local explanations + +
Require: Model f,Data instance x, Number of perturbations N,Number of seed perturbations S,
Batch size B,Pool size A, tempurature T 1: function FOCUSED SAMPLE
Initialize Z with S seed perturbations.
2:
3:Fit on Z Using Eqn (6)
4:fori←1toN-Sinincrements ofBdo
5:Q ←Generate Acandidate perturbations Using Eqn (11)
6:Compute var(y(z)) on Q
7:Define Qdist as X exp(var(g(z))/τ)
8:Qnew ← Draw B samples from Qdist
9:Z ← ZU Qnew; Fit on Z Using Eqn (6)
10: end for
11: return $
12: end function
+ +# 4 Experiments + +We evaluate the proposed framework by first analyzing the quality of our uncertainty estimates i.e., feature importance uncertainty and error uncertainty. We also assess our estimates of required perturbations $( G )$ , and evaluate the computational efficiency of focused sampling. Last, we describe a user study with 31 subjects to assess the informativeness of the explanations output by our framework. + +Setup We experiment with a variety of real world datasets spanning multiple applications (e.g., criminal justice, credit scoring) as well as modalities (e.g., structured data, images). Our first structured dataset is COMPAS [27], containing criminal history, jail and prison time, and demographic attributes of 6172 defendants, with class labels that represent whether each defendant was rearrested within 2 years of release. The second structured dataset is the German Credit dataset from the UCI repository [28] containing financial and demographic information (including account information, credit history, employment, gender) for 1000 loan applications, each labeled as a “good” or “bad” customer. We create 80/20 train/test splits for these two datasets, and train a random forest classifier (sklearn implementation with 100 estimators) as black box models for each (test accuracy of $8 2 . 8 \%$ and $7 2 . 5 \%$ , respectively). We also include popular image datasets–MNIST and Imagenet. For the MNIST [29] handwritten digits dataset, we train a 2-layer CNN to predict the digits (test accuracy of $9 9 . 2 \%$ ). For Imagenet [30], we use the off-the-shelf VGG16 model [31] as the black box. We select a sample of 100 images of the following classes French Bulldog, Scuba Diver, Corn, and Broccoli to use in the experiments. For generating explanations, we use standard implementations of the baselines LIME and KernelSHAP with default settings [2, 4]. For images, we construct super pixels as described in [2] and use them as features (number of super pixels is fixed to 20 per image). For our framework, the desired level of certainty is expressed as the width of the $9 5 \%$ credible interval. + +
BayesLIMEBayesSHAPBayesLIMEBayesSHAP
TABULAR DATASETSMNIST
COMPAS95.587.9Digit 195.898.4
German Credit96.989.6Digit 295.897.4
IMAGENETDigit 395.296.3
Corn94.691.8Digit 497.290.1
Broccoli91.489.2Digit 595.295.6
French Bulldog94.889.9Digit 696.796.8
Scuba Diver92.494.6Digit 795.795.3
+ +Table 1: Evaluating Credible Intervals. We report the $\%$ of time the $9 5 \%$ credible intervals with 100 perturbations include their true values (estimated on 10, 000 perturbations). Closer to 95.0 is better. Both BayesLIME and BayesSHAP are well calibrated. + +Quality of Uncertainty Estimates A critical component of our explanations is the feature importance uncertainty. To evaluate the correctness of these estimates, we compute how often true feature importances lie within the $9 5 \%$ credible intervals estimated by BayesLIME and BayesSHAP. Note, that by true feature importance, we refer to the best fit linear model output using either the LIME or SHAP kernels. We evaluate the quality of our credible interval estimates by running our methods with 100 perturbations to estimate feature importances and taking the corresponding $9 5 \%$ credible intervals for each test instance. We compute what fraction of the true feature importances fall within our $9 5 \%$ credible intervals. Note, because there are no methods to provide uncertainty estimates for LIME and SHAP, we do not provide further baselines. Since we do not have access to the true feature importances of the complex black box models, following Prop 3.2, we use feature importances computed using a large value of $N$ $( N = 1 0 , 0 0 0 )$ , and treat the resulting estimates as ground truth. + +Results for BayesLIME in Table 1 indicate that the true feature importances are close to ideal and indicate the estimates are well calibrated. While the estimates by BayesSHAP are somewhat less calibrated (true feature importances fall within our estimated $9 5 \%$ credible intervals about 89.2 to $9 8 . 4 \%$ of the time), they still are quite close to ideal. All in all, these results confirm that the credible intervals learned by our methods are well calibrated and therefore highly reliable in capturing the uncertainty of the feature importances. Lastly, though we set our priors to be uninformative in general, we also investigate how sensitive our uncertainty estimates are to hyperparameter choices in Figure 5 in the Appendix. We find that the explanation uncertainty becomes uncalibrated with strong priors. However, our explanations seem to be robust to hyperparameter choices in general. + +Correctness of Estimated Number of Perturbations We assess whether our estimate of perturbations-to-go $G$ ; Section 3.2) is an accurate estimate of the additional number of perturbations needed to reach a desired level of feature importance certainty. We carry out this experiment on MNIST data for the digit $" 4 > "$ (additional datasets explored in Appendix C) and use $S = 2 0 0$ as the initial number of perturbations to obtain a preliminary explanation and its associated uncertainty estimates. We then leverage these estimates to compute $G$ for 6 different certainty levels. First, we observe significant differences in $G$ estimates across instances (details in appendix C) i.e. number of perturbations needed to obtain a particular level of certainty varied significantly across instances– ranging from 200-5, 000 for the lowest level of certainty to 200-20, 000 for higher levels of certainty. Next, for each image and certainty level, we run our method for the estimated number of perturbations $( G )$ to determine if the observed estimates of uncertainty (observed credible interval width $W$ ) match the desired levels of uncertainty (desired credible interval width $W$ ). Results in Figure 2 show that the observed and desired levels of certainty are well calibrated, demonstrating that $G$ estimates are reliable approximations of the additional number of perturbations needed. + +![](images/a1ce895bb1fbdbf243ad90abc4bbd6376035f01308ad9e7c0365cb10fc50cc0d.jpg) +Figure 2: Perturbations-to-go $( G )$ . We generate explanation with $G$ perturbations, where $G$ is computed using the desired credible interval width $\mathbf { \bar { X } }$ -axis), and compare desired levels to the observed credible interval width (y-axis) (blue line indicates ideal calibration). Results are averaged over 100 MNIST images of the digit $" 4 > "$ We see that $G$ provides a good approximation of the additional perturbations needed. + +Efficiency of Focused Sampling Focused sampling uses the predictive variance to strategically choose perturbations that will reduce uncertainty in order to be labeled by the black box (section 3.3). Here, we will evaluate the efficiency of the focused sampling procedure. First, we assess whether focused sampling converges (as measured by error uncertainty $P ( \epsilon = 0 ) )$ ) more efficiently than random sampling. To this end, we experiment with BayesLIME on Imagenet data for the “French bulldog” class to carry out this analysis. This setting replicates scenarios where LIME is applied to a computationally expensive black box model, making it highly desirable to limit the number of perturbations to reduce total running time. We run each sampling strategy for 2,000 perturbations and plot the number of model queries versus error uncertainty. During focused sampling, we set the batch size $B$ to 50. The results in Figure 3 show that focused sampling results in faster convergence to reliable and high quality explanations; focused sampling stabilizes within a couple hundred model queries while random sampling takes over 1,000. Note, as the inefficiency of querying the black box model increases, the advantages of focused sampling decreasing total running time of the explanations will only become more pronounced. These results clearly demonstrate that focused sampling can significantly speed up the process of generating high quality local explanations. Additionally, in Appendix C, we also check if focused sampling causes any bias (due to sampling based on uncertainty estimates) that results in convergence to a different/wrong explanation, however our results clearly indicate that this is not the case. + +Stability of BayesLIME & BayesSHAP Recall that LIME & SHAP are not stable: small changes to instances can produce substantially different explanations. We consider whether BayesLIME & BayesSHAP produce more stable explanations than their LIME & SHAP counterparts. To perform this analysis, we use the local Lipschitz metric for explanation stability [18]: + +$$ +\hat { L } ( x _ { i } ) = \operatorname * { a r g m a x } _ { x _ { j } \in N _ { \epsilon } ( x _ { i } ) } \frac { | | \phi _ { i } - \phi _ { j } | | _ { 2 } } { | | x _ { i } - x _ { j } | | _ { 2 } } +$$ + +where $x _ { i }$ refers to an instance, $N _ { \epsilon } ( x _ { i } )$ is the $\epsilon$ -ball centered at $x _ { i }$ , and $\phi _ { i }$ and $\phi _ { j }$ are the explanation parameters for $x _ { i }$ and $x _ { j }$ . Lower values indicate more stable explanations. We follow the setup outline by Alvarez-Melis and Jaakkola [18] and compute the local Lipschitz values, comparing both LIME & BayesLIME and SHAP & BayesSHAP across Compas, German Credit, MNIST digit $\cdot _ { 4 } \cdot \cdot$ , and Imagenet “French Bulldog.” We perform the comparison using the default number of perturbations in both LIME & SHAP, and use this same number in the respective Bayesian variants and set the batch size $B$ to half this value. We use focused sampling for BayesLIME and BayesSHAP, and report the $\%$ increase in stability of these approaches over LIME and SHAP for 40 test points. The results given in Figure 4 show a clear improvement (on average $5 3 \%$ ) in stability in all cases except German Credit for BayesSHAP. Further, we run a Wilcoxon signed-rank test and find our results are statistically significant in all cases $\mathrm { / e < 1 e { - } 2 ) }$ except for BayesSHAP for German Credit, where there is not a significant difference between the methods $\zeta _ { \rho } > 0 . 0 5 )$ . These results demonstrate BayesLIME and BayesSHAP are more stable than previous methods. + +![](images/dbdcf8d6b10a60e362cba9afcfbbaed135a2dd3c956ce32266eb747c42dae508.jpg) +Figure 3: Efficiency of focused sampling for 100 Imagenet “French bulldog” images, with random sampling as a baseline. We provide mean and standard error. We assess the efficiency of focused sampling by comparing error uncertainty over model queries and show quicker convergence than random sampling. + +![](images/988605277650e44dda266f35f97a56551dc27c3e649264948462a5108a6c7e8f.jpg) +Figure 4: Assessing the $\%$ increase in stability of BayesLIME and BayesSHAP over LIME and SHAP respectively. Our Bayesian methods are significant more stable $\rho \ < \ 1 { \mathrm { e } } { \mathrm { - } } 2$ according to Wilcoxon signed-rank test) except for BayesSHAP on German Credit, where there is not a significant difference between the methods $\zeta _ { \rho } > 0 . 0 5 )$ . + +User Study We perform a user study with 31 subjects to compare BayesLIME and LIME explanations on MNIST. We evaluate the following: are explanations with low levels of uncertainty (i.e., most confident explanations) more meaningful to humans? To answer this question, we follow prior work and mask the most important features selected by BayesLIME and LIME [32, 4]. We ask users to guess the digit of the masked images. The better the explanation, the more difficult it should be for the users to get it right. Further, the choice to mask the important features is motivated by its success in prior work. We randomly select 15 correctly predicted test images, generate explanations by sweeping over a range of perturbation amounts $[ 1 \dot { 0 } ^ { 5 } , . . . , 1 0 ^ { 3 . 5 } ]$ incremented by 0.5. We choose the top explanation for each image based on either fidelity (for LIME) or $P ( \epsilon = 0 )$ (for BayesLIME). We sent the user study out to students and researchers with background in computer science. A screen shot of the task is shown in Figure 7 in the Appendix. We find that the explanations output by our methods focus on more informative parts of the image, since hiding them makes it difficult for humans to guess the digit. Users had an error rate of $2 5 . 7 \%$ for LIME, while it was $3 0 . 7 \%$ for BayesLIME, both with standard error 0.003 $\mathrm { \Delta } \rho = 0 . 0 2 8$ through a one-tailed two sample t-test). This result indicates that our method BayesLIME and the associated measure of explanation uncertainty result in more high quality and reliable explanations compared to LIME and its associated fidelity metric. + +# 5 Related Work + +Interpretability Methods A variety of interpretability methods have been proposed. Some methods that are inherently interpretable include additive models [33, 34], decision lists and sets [35, 36], and instance-based explanations [37]. However, black-box models are often more flexible, accurate, and easier to use; thus, there has been a lot of interest in constructing post hoc explanations[38]. These include LIME [2] and SHAP [4, 39], which are among the most popular due to their broad applicability and code availability, but saliency maps [5–8], permutation feature importance [40], and partial dependency plots [41] also follow this paradigm. Other approaches to post hoc explanations focus on rule-based models [1, 3], counterfactuals [42, 43], and influence functions [9]. + +Vulnerabilities of Post hoc Explanations Recent work has shed light on the downsides of post hoc explanation techniques. These methods are often highly sensitive to small changes in inputs [14], are susceptible to manipulation [15, 16, 44, 45], and are not faithful to the underlying black boxes [46]. Perturbation-based explanation methods such as LIME and SHAP are subject to additional criticisms: results vary between runs of the algorithms [18–20, 47, 21], and hyperparameters used to select the perturbations can greatly influence the resulting explanation [20]. Prior work has attempted to tackle the problem of instability in perturbation-based explanations by averaging over several explanations [48, 19], however, this is computationally expensive. Other works related to creating more trustworthy explanations include development of sanity checks for explainers [49, 17, 50]. These techniques represent an important step towards improved usability, given experimental evidence that humans are often too eager to accept inaccurate machine explanations [51–54]. Recent works theoretically analyze the sources of non-robustness in black box explanations [55–57]. + +Logical and Formal Reasoning Additional related works have considered explaining classifiers through identifying a subset of features that are “sufficient” to explain a prediction [58–62]. Though these methods offer strong guarantees surrounding which features ensure a prediction is achieved, they are not model agnostic. Further, they do not define feature importances associated with the local explanations nor consider ways to improve locally weighted explanations, such as LIME and SHAP. + +Bayesian Methods in Explainable ML Few recent works have adopted Bayesian formulations to explain black box models [63–65]. Guo et al. [63] introduce a Bayesian non-parametric approach to fit a global surrogate model. Their formulation seeks to fit a mixture of generalizable explanations across instances. Zhao et al. [64] study whether incorporating informative priors improves the stability of the resulting explanations. However, neither of these works focus on modeling the uncertainty of local explanations. Further, these approaches also do not tackle the critical problems of estimating key hyperparameters or improving efficiency of computing explanations. + +# 6 Conclusion + +We developed a Bayesian framework for generating local explanations along with their associated uncertainty. We instantiated this framework to obtain Bayesian versions of LIME and SHAP that output pointwise estimates of feature importances as well as their associated credible intervals. These intervals enabled us to infer the quality of the explanations and output explanations that satisfied user specified levels of uncertainty. We carried out theoretical analysis that leverages these uncertainty measures (credible intervals) to estimate the values of critical hyperparameters (e.g., the number of perturbations). We also proposed a novel sampling technique called focused sampling that leverages uncertainty estimates to determine how to sample perturbations for faster convergence. + +While the Bayesian framework addresses several critical challenges (i.e., consistency, stability, modeling uncertainty) associated with LIME and SHAP, there are still certain aspects where it would exhibit the same shortcomings as LIME and SHAP [4, 66]. For instance, if the local decision surface of a given black box classifier is highly non-linear, our framework, which relies on local linear approximations, may not be able to capture this non-linear decision surface accurately. In addition, if the perturbation sampling procedures used in LIME and SHAP are used in BayesLIME and BayesSHAP, they will likely be vulnerable to the attacks proposed by Slack et al. [15]. In the future, it would be interesting to extend our framework to produce global explanations with uncertainty guarantees and explore how uncertainty quantification can help calibrate user trust in model explanations. + +# 7 Acknowledgments + +We would like to thank the anonymous reviewers for their insightful feedback. This work is supported in part by the NSF awards #IIS-2008461, #IIS-2008956, and #IIS-2040989, and research awards from the Harvard Data Science Institute, Amazon, Bayer, Google, and the HPI Research Center in Machine Learning and Data Science at UC Irvine. The views expressed are those of the authors and do not reflect the official policy or position of the funding agencies. + +References +[1] Marco Tulio Ribeiro, Sameer Singh, and Carlos Guestrin. Anchors: High-precision modelagnostic explanations. In Thirty-Second AAAI Conference on Artificial Intelligence, 2018. +[2] Marco Tulio Ribeiro, Sameer Singh, and Carlos Guestrin. Why Should I Trust You? explaining the predictions of any classifier. In Knowledge Discovery and Data mining (KDD), 2016. +[3] Himabindu Lakkaraju, Ece Kamar, Rich Caruana, and Jure Leskovec. Faithful and customizable explanations of black box models. In Proceedings of the 2019 AAAI/ACM Conference on AI, Ethics, and Society, pages 131–138. ACM, 2019. +[4] Scott M Lundberg and Su-In Lee. A unified approach to interpreting model predictions. In Advances in Neural Information Processing Systems, pages 4765–4774, 2017. +[5] Karen Simonyan, Andrea Vedaldi, and Andrew Zisserman. 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Springer, 2006. \ No newline at end of file diff --git a/parse/train/YUEFlzlG_0c/YUEFlzlG_0c_content_list.json b/parse/train/YUEFlzlG_0c/YUEFlzlG_0c_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..48c8a3854e8f0f5cdc662d77f0d49f4cec01f721 --- /dev/null +++ b/parse/train/YUEFlzlG_0c/YUEFlzlG_0c_content_list.json @@ -0,0 +1,1626 @@ +[ + { + "type": "text", + "text": "Reliable Post hoc Explanations: Modeling Uncertainty in Explainability ", + "text_level": 1, + "bbox": [ + 259, + 122, + 736, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Dylan Slack \nUC Irvine \ndslack@uci.edu ", + "bbox": [ + 184, + 227, + 305, + 267 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Sophie Hilgard Harvard University ash798@g.harvard.edu ", + "bbox": [ + 323, + 226, + 495, + 267 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Sameer Singh UC Irvine sameer@uci.edu ", + "bbox": [ + 516, + 227, + 633, + 267 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Himabindu Lakkaraju Harvard University hlakkaraju@hbs.edu ", + "bbox": [ + 651, + 226, + 813, + 267 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 304, + 535, + 320 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "As black box explanations are increasingly being employed to establish model credibility in high stakes settings, it is important to ensure that these explanations are accurate and reliable. However, prior work demonstrates that explanations generated by state-of-the-art techniques are inconsistent, unstable, and provide very little insight into their correctness and reliability. In addition, these methods are also computationally inefficient, and require significant hyper-parameter tuning. In this paper, we address the aforementioned challenges by developing a novel Bayesian framework for generating local explanations along with their associated uncertainty. We instantiate this framework to obtain Bayesian versions of LIME and KernelSHAP which output credible intervals for the feature importances, capturing the associated uncertainty. The resulting explanations not only enable us to make concrete inferences about their quality (e.g., there is a $9 5 \\%$ chance that the feature importance lies within the given range), but are also highly consistent and stable. We carry out a detailed theoretical analysis that leverages the aforementioned uncertainty to estimate how many perturbations to sample, and how to sample for faster convergence. This work makes the first attempt at addressing several critical issues with popular explanation methods in one shot, thereby generating consistent, stable, and reliable explanations with guarantees in a computationally efficient manner. Experimental evaluation with multiple real world datasets and user studies demonstrate that the efficacy of the proposed framework.1 ", + "bbox": [ + 232, + 335, + 766, + 612 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 640, + 310, + 657 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "As machine learning (ML) models get increasingly deployed in domains such as healthcare and criminal justice, it is important to ensure that decision makers have a clear understanding of the behavior of these models. However, ML models that achieve state-of-the-art accuracy are typically complex black boxes that are hard to understand. As a consequence, there has been a surge in post hoc techniques for explaining black box models [1–10]. Most popular among these techniques are local explanation methods which explain complex black box models by constructing interpretable local approximations (e.g., LIME [2], SHAP [4], MAPLE [11], Anchors [1]). Due to their generality, these methods are being leveraged to explain a number of classifiers including deep neural networks and ensemble models in a variety of domains such as law, medicine, and finance [12, 13]. ", + "bbox": [ + 174, + 671, + 825, + 796 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Existing local explanation methods, however, suffer from several drawbacks. Explanations generated using these methods may be unstable [14–18], i.e., negligibly small perturbations to an instance can result in substantially different explanations. These methods are also inconsistent [19] i.e., multiple runs on the same input instance with the same parameter settings may result in vastly different explanations. There are also no reliable metrics to ascertain the quality of the explanations ", + "bbox": [ + 174, + 803, + 825, + 872 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/d47efc4990be75e69296fffac100fa38760e5883dfb996999588185ce3d0e586.jpg", + "image_caption": [ + "(b) Explanation with 2000 perturbations " + ], + "image_footnote": [], + "bbox": [ + 511, + 104, + 810, + 204 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/3f716bc0fdf329c8651b34a0ee8151d109ef2249803f50f834c077a2687e7548.jpg", + "image_caption": [ + "Figure 1: Example explanations on for an instance from the COMPAS dataset, where vertical lines indicate the feature importance by LIME (red is negative effect, green is positive) and the shaded region visualizes the uncertainty estimated by BayesLIME. While LIME produces very different and contradictory feature importance for different number of perturbations (1a and 1b), BayesLIME provides more context. The overlapping uncertainty intervals in the explanation computed with 100 perturbations (1a) indicate that it is unclear which feature is the most important. However, the tighter uncertainty intervals in the explanation computed with 2K perturbations (1b) clearly indicates that Female is the most important. " + ], + "image_footnote": [], + "bbox": [ + 191, + 104, + 488, + 205 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "(a) Explanation computed with 100 perturbations ", + "bbox": [ + 192, + 218, + 483, + 232 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "output by these methods. Commonly used metrics such as explanation fidelity rely heavily on the implementation details of the explanation method (e.g., the perturbation function used in LIME) and do not provide a true picture of the explanation quality [20]. Furthermore, there exists little to no guidance on determining the values of certain hyperparameters that are critical to the quality of the resulting local explanations (e.g., number of perturbations in case of LIME). Local explanation methods are also computationally inefficient i.e., they typically require a large number of black box model queries to construct local approximations [21]. This can be prohibitively slow especially in case of complex neural models. ", + "bbox": [ + 174, + 380, + 825, + 491 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper, we identify that modeling uncertainty in black box explanations is the key to addressing all the aforementioned challenges. To this end, we propose a novel Bayesian framework for generating local explanations along with their associated uncertainty. We instantiate this framework to obtain Bayesian versions of LIME and KernelSHAP, namely BayesLIME and BayesSHAP, that not only output point-wise estimates of feature importance but also their associated uncertainty in the form of credible intervals (See Figure 1). We derive closed form expressions for the posteriors of the explanations thereby eliminating the need for any additional computational complexity. The credible intervals produced by our framework not only allow us to make concrete inferences about the quality of the resulting explanations but also produce explanations that satisfy user specified levels of uncertainty (e.g., an end user may request for explanations that satisfy a certain $9 5 \\%$ confidence level). In addition, the resulting explanations are also highly consistent and stable. To the best of our knowledge, this work makes the first attempt at addressing several critical challenges in popular explanation methods in one-shots, thereby generating consistent, stable, and reliable explanations with guarantees in a computationally efficient manner. ", + "bbox": [ + 174, + 497, + 825, + 690 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We carry out theoretical analysis that leverages the measures of uncertainty (credible intervals) produced by our framework to estimate the values of critical hyperparameters. More specifically, we derive a closed form expression for the number of perturbations required to generate explanations that satisfy desired levels of confidence. We also propose a novel sampling technique called focused sampling that leverages uncertainty to determine how to sample perturbations for faster convergence, thereby enabling our framework to generate explanations in a computationally efficient manner. ", + "bbox": [ + 174, + 696, + 825, + 780 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We evaluate the efficacy of the proposed framework on a variety of datasets including COMPAS, German Credit, ImageNet, and MNIST. Our results demonstrate that the explanations output by our framework are not only highly reliable, but also very consistent and stable $5 3 \\%$ more stable than LIME/SHAP on an average). Our experimental results also confirm that we can accurately estimate the number of perturbations needed to generate explanations with a desired level of uncertainty, and that our uncertainty sampling technique speeds up the process of generating explanations by up to a factor of 2 relative to random sampling of perturbations. Lastly, we carry out a user study with 31 human subjects to evaluate the quality of the explanations generated by our framework, demonstrating that our explanations accurately capture the importance of the most influential features. ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Notation & Background ", + "text_level": 1, + "bbox": [ + 174, + 89, + 406, + 107 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Here we introduce notation and discuss two relevant prior approaches, LIME and KernelSHAP. ", + "bbox": [ + 171, + 119, + 797, + 136 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Notation Let $f : \\mathbb { R } ^ { d } [ 0 , 1 ]$ denote a black box classifier that takes a data point $x$ with $d$ features, and returns the probability that $x$ belongs to a certain class. Our goal is to explain individual predictions of $f$ . Let $\\phi \\in \\mathbb { R } ^ { d }$ denote the explanation in terms of feature importances for the prediction $f ( x )$ , i.e. coefficients $\\phi$ are treated as the feature contributions to the black box prediction. Note that $\\phi$ captures the coefficients of a linear model. Let $\\mathcal { Z }$ be a set of $N$ randomly sampled instances (perturbations) around $x$ . The proximity between $x$ and any $z \\in { \\mathcal { Z } }$ is given by $\\pi _ { x } ( z ) \\in \\mathbb { R }$ . We denote the vector of these distances over the $N$ perturbations in $\\mathcal { Z }$ as $\\Pi _ { x } ( \\hat { \\mathcal { Z } } ) \\in \\mathbb { R } ^ { \\mathrm { \\tilde { \\cal N } } }$ . Let $Y \\in [ 0 , 1 ]$ be the vector of the black box predictions $f ( z )$ corresponding to each of the $N$ instances in $\\mathcal { Z }$ . ", + "bbox": [ + 173, + 140, + 825, + 253 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "LIME [2] and KernelSHAP [4] are popular model-agnostic local explanation approaches that explain predictions of a classifier $f$ by learning a linear model $\\phi$ locally around each prediction (i.e. $y \\overset { \\cdot } { \\sim } \\phi ^ { T } \\overset { \\cdot } { z } ,$ ). The objective function for both LIME and KernelSHAP constructs an explanation that approximates the behavior of the black box accurately in the vicinity (neighborhood) of $x$ . ", + "bbox": [ + 173, + 257, + 825, + 314 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/5b5d797713a6469acad5fb0bf6e7bc946bba80013ead1410fa91caa14bcccc0b.jpg", + "text": "$$\n\\underset { \\phi } { \\arg \\operatorname* { m i n } } \\sum _ { z \\in \\mathcal { Z } } [ f ( z ) - \\phi ^ { T } z ] ^ { 2 } \\pi _ { x } ( z ) .\n$$", + "text_format": "latex", + "bbox": [ + 377, + 320, + 602, + 356 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The above objective function has the following closed form solution: ", + "bbox": [ + 176, + 361, + 622, + 377 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/0afcf2cad957bb91d713ca1d977d180eabe894afd8197cdb69554ea594d79514.jpg", + "text": "$$\n\\hat { \\phi } = ( \\mathcal { Z } ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) \\mathcal { Z } + \\mathbb { I } ) ^ { - 1 } ( \\mathcal { Z } ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) Y )\n$$", + "text_format": "latex", + "bbox": [ + 323, + 383, + 674, + 404 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The main difference between LIME and KernelSHAP lies in how $\\pi _ { x } ( z )$ is chosen. In LIME, it is chosen heuristically: $\\pi _ { x } ( z )$ is computed as the cosine or $l _ { 2 }$ distance. KernelSHAP leverages game theoretic principles to compute $\\pi _ { x } ( z )$ , guaranteeing that explanations satisfy certain properties. ", + "bbox": [ + 173, + 417, + 825, + 460 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Our Framework: Bayesian Local Explanations ", + "text_level": 1, + "bbox": [ + 173, + 478, + 598, + 497 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we introduce our Bayesian framework which is designed to capture the uncertainty associated with local explanations of black box models. First, we discuss the generative process and inference procedure for the framework. Then, we highlight how our framework can be instantiated to obtain Bayesian versions of LIME and SHAP. Lastly, we present detailed theoretical analysis for estimating the values of critical hyperparameters, and discuss how to efficiently construct highly accurate explanations with uncertainty guarantees using our framework. ", + "bbox": [ + 173, + 510, + 825, + 594 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Constructing Bayesian Local Explanations ", + "text_level": 1, + "bbox": [ + 174, + 609, + 509, + 626 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our goal here is to explain the behavior of a given black box model $f$ in the vicinity of an instance $x$ while also capturing the uncertainty associated with the explanation. To this end, we propose a Bayesian framework for constructing local linear model based explanations and capturing their associated uncertainty. We model the black box prediction of each perturbation $z$ as a linear combination of the corresponding feature values $( \\phi ^ { \\dot { T } } z )$ plus an error term (\u000f) as shown in Eqn (4). While the weights of the linear combination $\\phi$ capture the feature importances and thereby constitute our explanation, $\\epsilon$ captures the error that arises due to the mismatch between our explanation $\\phi$ and the local decision surface of the black box model $f$ . Our complete generative process is shown below: ", + "bbox": [ + 173, + 635, + 826, + 747 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d6895be82c9552d896bdeba4d8aa98055324bd5c698e6bfedb43377deffa4bb8.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { y | z , \\phi , \\epsilon \\sim \\phi ^ { T } z + \\epsilon \\qquad \\epsilon \\sim \\mathcal { N } ( 0 , \\displaystyle \\frac { \\sigma ^ { 2 } } { \\pi _ { x } ( z ) } ) } \\\\ & { } & { \\phi | \\sigma ^ { 2 } \\sim \\mathcal { N } ( 0 , \\sigma ^ { 2 } \\mathbb { I } ) \\qquad \\sigma ^ { 2 } \\sim \\mathrm { I n v } - \\chi ^ { 2 } ( n _ { 0 } , \\sigma _ { 0 } ^ { 2 } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 351, + 753, + 647, + 810 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The error term is modeled as a Gaussian whose variance relies on the proximity function $\\pi _ { x } ( z )$ i.e., $\\begin{array} { r } { \\epsilon \\sim \\mathcal { N } ( 0 , \\frac { \\sigma ^ { 2 } } { \\pi _ { x } ( z ) } ) } \\end{array}$ . This proximity function ensures that perturbations closer to the data point $x$ are modeled accurately, while allowing more room for error in case of perturbations that are farther away. $\\pi _ { x } ( z )$ can be computed using cosine or $l _ { 2 }$ distance or other game theoretic principles similar to that of LIME and KernelSHAP (see Section 2). The conjugate priors on $\\phi$ and $\\bar { \\sigma } ^ { 2 }$ are shown in Eqn (4). Note that, the distributions on error $\\epsilon$ and feature importance $\\phi$ both consider the parameter $\\sigma ^ { 2 }$ . The fact that the prior on the feature importances considers $\\sigma ^ { 2 }$ has an intuitive interpretation: if we have prior knowledge that the error of the explanation is small, we expect to be more confident about the feature importances. Similarly, if we have prior knowledge the error is large, we expect to be less confident about the feature importances. ", + "bbox": [ + 173, + 820, + 825, + 912 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 147 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Thus, our generative process corresponds to the Bayesian version of the weighted least squares formulation of LIME and KernelSHAP outlined in Eqn. (1), with additional terms to model uncertainty. As in Eqns. (4), the process captures two sources of uncertainty in local explanations: 1) feature importance uncertainty: the uncertainty associated with the feature importances $\\phi$ , and (2) error uncertainty: the uncertainty associated with the error term $\\epsilon$ which captures how well our explanation $\\phi$ models the local decision surface of the underlying black box. ", + "bbox": [ + 173, + 152, + 825, + 237 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Inference Our inference process involves estimating the values of two key parameters: $\\phi$ and $\\sigma ^ { 2 }$ . By doing so, we can compute the local explanation as well as the uncertainties associated with feature importances and the error term. Posterior distributions on $\\phi$ and $\\sigma ^ { 2 }$ are normal and scaled Inv- $\\chi ^ { 2 }$ , respectively, due to the corresponding conjugate priors [22]: ", + "bbox": [ + 174, + 247, + 825, + 304 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/ce99269200b8311cd63ef3c46c41140dd45c6a22a0c985b5bfc62b9be77124a6.jpg", + "text": "$$\n\\begin{array} { r l } & { \\sigma ^ { 2 } | \\mathcal { Z } , Y \\sim \\mathrm { S c a l e d - I n v - } \\chi ^ { 2 } \\left( n _ { 0 } + N , \\frac { n _ { 0 } \\sigma _ { 0 } ^ { 2 } + N s ^ { 2 } } { n _ { 0 } + N } \\right) } \\\\ & { \\phi | \\sigma ^ { 2 } , \\mathcal { Z } , Y \\sim \\mathrm { N o r m a l } ( \\hat { \\phi } , V _ { \\phi } \\sigma ^ { 2 } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 325, + 306, + 671, + 364 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Further, $\\hat { \\phi } , V _ { \\phi }$ , and $s ^ { 2 }$ can be directly computed: ", + "bbox": [ + 173, + 367, + 490, + 383 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/756ed874aec151dfbac77feb2be03dd078941ebbec8dbb8c6401fcce987809c5.jpg", + "text": "$$\n\\begin{array} { r l } & { \\hat { \\phi } = V _ { \\phi } ( \\mathcal { Z } ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) Y ) } \\\\ & { V _ { \\phi } = \\left( \\mathcal { Z } ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) \\mathcal { Z } + \\mathbb { I } \\right) ^ { - 1 } } \\\\ & { s ^ { 2 } = \\displaystyle \\frac { 1 } { N } \\left[ ( Y - \\mathcal { Z } \\hat { \\phi } ) ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) ( Y - \\mathcal { Z } \\hat { \\phi } ) + \\hat { \\phi } ^ { T } \\hat { \\phi } \\right] } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 318, + 386, + 678, + 462 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Details of the complete inference procedure including derivations of Eqns. (5-7) are provided in the Appendix A. Note that our estimate of the posterior mean feature importances $\\hat { \\phi }$ (Eqn. (6)) is the same as that of the feature importances computed in case of LIME and KernelSHAP (Eqn. (2)). ", + "bbox": [ + 176, + 463, + 821, + 507 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Remark 3.1. If we use the same proximity function $\\pi _ { x } ( z )$ in our framework as in LIME or KernelSHAP, the posterior mean of the feature importance $\\hat { \\phi }$ output by our framework $E q$ (6)) will be equivalent to the feature importances output by LIME or KernelSHAP, respectively. ", + "bbox": [ + 174, + 508, + 825, + 554 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Feature Importance Uncertainty To obtain the local feature importances and their associated uncertainty, we first compute the posterior mean of the local feature importances $\\hat { \\phi }$ using the closed form expression in Eqn. (7). We then estimate the credible interval (measure of uncertainty) around the mean feature importances by repeatedly sampling from the posterior distribution of $\\phi$ (Eq (5)). ", + "bbox": [ + 173, + 568, + 825, + 627 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Error Uncertainty The error term $\\epsilon$ can serve as a proxy for explanation quality because it captures the mismatch between the constructed explanation and the local decision surface of the underlying black box. We first calculate the marginal posterior distribution of $\\epsilon$ by leveraging Eqn (4) and integrating out $\\sigma ^ { 2 }$ . This results in a three parameter Student’s t distribution (derivation in appendix A): ", + "bbox": [ + 173, + 638, + 825, + 707 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/62d140f78c59e2efd62ba5c9efa76014ee9044c50f3c428d1da005a3d6e1aac5.jpg", + "text": "$$\n\\epsilon | \\mathcal { Z } , Y \\sim t _ { ( \\nu = n _ { 0 } + N ) } ( 0 , \\frac { n _ { 0 } \\sigma _ { 0 } ^ { 2 } + N s ^ { 2 } } { n _ { 0 } + N } ) .\n$$", + "text_format": "latex", + "bbox": [ + 367, + 705, + 630, + 739 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We then evaluate the probability density function (PDF) of the above posterior at 0, i.e., $P ( \\epsilon = 0 )$ by substituting the value of $s ^ { 2 }$ computed using Eqn. (7) into the Student’s t distribution above (Eqn. (8)). The resulting expression gives us the probability density that the explanation output by our framework perfectly captures the local decision surface underlying the black box. This operation is performed in constant time, adding minimal overhead to non-Bayesian LIME and SHAP. We illustrate how these computed intervals capture the variance in the explanations in Figure 9. ", + "bbox": [ + 173, + 739, + 825, + 824 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Proposition 3.2. As the number of perturbations around $x$ goes to $\\infty$ i.e., $N \\to \\infty$ : $( l )$ the estimate of $\\phi$ converges to the true feature importance scores, and its uncertainty to 0. (2) uncertainty of the error term \u000f converges to the bias of the local linear model $\\phi$ . [Details in Appendix B] ", + "bbox": [ + 174, + 825, + 825, + 868 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "BayesLIME and BayesSHAP Our framework can be instantiated to obtain the Bayesian version of LIME by setting the proximity function to $\\pi _ { x } ( z ) = \\exp ( - D ( x , z ) ^ { 2 } / \\sigma ^ { 2 } )$ where $D$ is a distance metric ", + "bbox": [ + 173, + 882, + 823, + 912 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "(e.g. cosine or $l _ { 2 }$ distance), and $n _ { 0 }$ and $\\sigma _ { 0 } ^ { 2 }$ to small values $( 1 0 ^ { - 6 } )$ so that the prior is uninformative. \nWe compute feature importance uncertainty and error uncertainty for LIME’s feature importances. ", + "bbox": [ + 171, + 90, + 825, + 119 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Our framework can also be instantiated to obtain the Bayesian version of KernelSHAP by setting uninformative prior on $\\sigma ^ { 2 }$ and d−1(d choose |z|)|z|(d−|z|) where |z| denotes the number of the variables in the variable combination represented by the data point $z$ i.e., the number of non-zero valued features in the vector representation of $z$ . Note that the original SHAP method views the problem of constructing a local linear model as estimating the Shapley values corresponding to each of the features [4]. These Shapley values represent the contribution of each of the features to the black box prediction i.e., $f ( x ) = \\phi _ { 0 } + \\sum \\phi _ { i }$ . Therefore, the measures of uncertainty output by our method BayesSHAP capture the reliability of the estimated variable contributions. ", + "bbox": [ + 173, + 126, + 825, + 241 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To encourage BayesLIME and BayesSHAP explanations to be sparse, we can use dimensionality reduction or feature selection techniques as used by LIME and SHAP to obtain the top K features [2, 4, 23]. We can then construct our explanations using the data corresponding to these top K features. ", + "bbox": [ + 174, + 247, + 826, + 289 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 Estimating the Number of Perturbations ", + "text_level": 1, + "bbox": [ + 174, + 304, + 495, + 319 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "One of the major drawbacks of approaches such as LIME and KernelSHAP is that they do not provide any guidance on how to choose the number of perturbations, a key factor in obtaining reliable explanations in an efficient manner. To address this, we leverage the uncertainty estimates output by our framework to compute perturbations-to-go $( G )$ , an estimate of how many more perturbations are required to obtain explanations that satisfy a desired level of certainty. This estimate thus predicts the computational cost of generating an explanation with a desired level of certainty and can help determine whether it is even worthwhile to do so. The user specifies the confidence level of the credible interval (denoted as $\\alpha$ ) and the maximum width of the credible interval $( W )$ , e.g. “width of $9 5 \\%$ credible interval should be less than $0 . 1 ^ { \\mathfrak { s } }$ corresponds to $\\alpha = 0 . 9 5$ and $W = 0 . 1$ . To estimate $G$ for the local explanation of a data point $x$ , we first generate $S$ perturbations around $x$ (where $S$ is small and chosen by the user) and fit a local linear model using our method2. This provides initial estimates of various parameters shown in Eqns (5)-(7) which can then be used to compute $G$ . ", + "bbox": [ + 173, + 329, + 825, + 496 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 3.3. Given $S$ seed perturbations, the number of additional perturbations required $( G )$ to achieve a credible interval width $W$ of feature importance for a data point $x$ at user-specified confidence level $\\alpha$ can be computed as: ", + "bbox": [ + 173, + 501, + 825, + 542 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/40186f46e1519fa4d25e8379f3069f26be6dc308e2e04c8e31c4467cc0aa5026.jpg", + "text": "$$\nG ( W , \\alpha , x ) = \\frac { 4 s _ { S } ^ { 2 } } { \\bar { \\pi } _ { S } \\times \\left[ \\frac { W } { \\Phi ^ { - 1 } ( \\alpha ) } \\right] ^ { 2 } } - S\n$$", + "text_format": "latex", + "bbox": [ + 375, + 547, + 622, + 603 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\bar { \\pi } _ { S }$ is the average proximity $\\pi _ { x } ( z )$ for the $S$ perturbations, $s _ { S } ^ { 2 }$ is the empirical sum of squared errors (SSE) between the black box and local linear model predictions, weighted by $\\pi _ { x } ( z )$ , as in (7), and $\\Phi ^ { - 1 } ( \\alpha )$ is the two-tailed inverse normal CDF at confidence level $\\alpha$ . ", + "bbox": [ + 174, + 608, + 825, + 652 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Proof (Sketch). To estimate $G$ , we first relate $W$ and $\\alpha$ to $\\operatorname { V a r } ( \\phi _ { i } )$ , the marginal variance of the feature importance3 for any feature $i$ , obtained by integrating out $\\sigma ^ { 2 }$ . Because Student’s t can be approximated by a Normal distribution for large degrees of freedom (here, $S$ should be large enough), we use the inverse normal CDF to calculate credible interval width at level $\\alpha$ . We compute $V _ { \\phi }$ from (6) using $\\mathcal { Z }$ , treating its entries as Bernoulli distributed with probability 0.5. Due to the covariance structure of this sampling procedure, the resulting variance estimate after $N$ samples is the sample SSE $s _ { S } ^ { 2 }$ scaled by $\\approx \\frac { 4 } { \\hat { \\pi } _ { S } N }$ (derivation in appendix B). If we assume SSE scales linearly with $S$ , we can take this to be a reasonable estimate of $s _ { N } ^ { 2 }$ at any $N$ . We can then estimate $G$ as ", + "bbox": [ + 173, + 665, + 826, + 782 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/86c08edb74635b95fbbf45f531e8136345e4c7137d6e42a24af5f7be0dd7f494.jpg", + "text": "$$\n\\left[ \\frac { W } { \\Phi ^ { - 1 } ( \\alpha ) } \\right] ^ { 2 } = \\mathrm { V a r } ( \\phi _ { i } ) = \\frac { 4 s _ { S } ^ { 2 } } { \\bar { \\pi } _ { S } \\times ( G + S ) } \\Longrightarrow G = \\frac { 4 s _ { S } ^ { 2 } } { \\bar { \\pi } _ { S } \\times \\left[ \\frac { W } { \\Phi ^ { - 1 } ( \\alpha ) } \\right] ^ { 2 } } - S .\n$$", + "text_format": "latex", + "bbox": [ + 238, + 787, + 758, + 845 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 Focused Sampling of Perturbations ", + "text_level": 1, + "bbox": [ + 176, + 90, + 457, + 106 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Perturbations-to-go $( G )$ provides us with an estimate of how many samples are required to achieve reliable explanations. However, if $G$ is large, querying the black-box model for its predictions on a large number of perturbations can be computationally expensive for larger models [24, 25]. To reduce this cost, we develop an alternative sampling procedure called focused sampling which leverages uncertainty estimates to query the black box in a more targeted fashion (instead of querying randomly), thereby reducing the computational cost associated with generating reliable explanations. Inspired by active learning [26], focused sampling strategically prioritizes perturbations whose predictions the explanation is most uncertain about, when querying the black box. This enables the focused sampling procedure to query the black box only for the predictions of the most informative perturbations and thereby learn an accurate explanation with far fewer queries to the black box. ", + "bbox": [ + 173, + 116, + 825, + 256 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To determine how uncertain our explanation $\\phi$ is about the black box label for any given instance $z$ , we first compute the posterior predictive distribution for $z$ (derivation in Appendix A), given as $\\boldsymbol { \\hat { y } } ( z ) | \\mathcal { Z } , \\boldsymbol { Y } \\sim t _ { ( \\mathcal { V } = N ) } ( \\boldsymbol { \\hat { \\phi } } ^ { T } \\boldsymbol { z } , ( \\boldsymbol { z } ^ { T } V _ { \\phi } \\boldsymbol { z } + 1 ) \\boldsymbol { s } ^ { 2 } )$ . The variance of this three parameter student’s t distribution is, ", + "bbox": [ + 174, + 261, + 825, + 319 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/924ee084bc57d7be88147e6536f4ee59feef084ad947ea7a4fcf28f3831f4841.jpg", + "text": "$$\n\\mathrm { v a r } ( \\hat { y } ( z ) ) = ( ( z ^ { T } V _ { \\phi } z + 1 ) s ^ { 2 } ) ( N / ( N - 2 ) )\n$$", + "text_format": "latex", + "bbox": [ + 351, + 316, + 647, + 335 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We refer to this variance as the predictive variance $\\mathrm { v a r } ( \\hat { y } ( z ) )$ , and it captures how uncertain our explanation $\\phi$ is about the black box prediction. ", + "bbox": [ + 171, + 339, + 821, + 367 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The focus sampling procedure first fits the explanation with an initial $S$ perturbations (where $S$ is a small number). We then iterate the following procedure until the desired explanation certainty level is reached. We draw a batch of $A$ candidate perturbations, compute their predictive variance with the Bayesian explanation, and induce a distribution over the perturbations by running softmax on the variances with tempurature parameter $\\tau$ . We draw a batch of $B$ perturbations from this distribution and query the black box model for their labels. Finally, we refit the Bayesian explanation on all the labeled perturbations collected so far. We provide pseudocode for the uncertainty sampling procedure in Algorithm 1. ", + "bbox": [ + 173, + 372, + 825, + 484 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/2aaf3ed471491c6419c0b3b2d1fe53312178ed130d8e0cc93c1ffde5ad05dc98.jpg", + "table_caption": [ + "Algorithm 1 Focused sampling for local explanations " + ], + "table_footnote": [], + "table_body": "
Require: Model f,Data instance x, Number of perturbations N,Number of seed perturbations S,
Batch size B,Pool size A, tempurature T 1: function FOCUSED SAMPLE
Initialize Z with S seed perturbations.
2:
3:Fit on Z Using Eqn (6)
4:fori←1toN-Sinincrements ofBdo
5:Q ←Generate Acandidate perturbations Using Eqn (11)
6:Compute var(y(z)) on Q
7:Define Qdist as X exp(var(g(z))/τ)
8:Qnew ← Draw B samples from Qdist
9:Z ← ZU Qnew; Fit on Z Using Eqn (6)
10: end for
11: return $
12: end function
", + "bbox": [ + 176, + 518, + 826, + 722 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Experiments ", + "text_level": 1, + "bbox": [ + 174, + 756, + 312, + 773 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We evaluate the proposed framework by first analyzing the quality of our uncertainty estimates i.e., feature importance uncertainty and error uncertainty. We also assess our estimates of required perturbations $( G )$ , and evaluate the computational efficiency of focused sampling. Last, we describe a user study with 31 subjects to assess the informativeness of the explanations output by our framework. ", + "bbox": [ + 174, + 787, + 825, + 844 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Setup We experiment with a variety of real world datasets spanning multiple applications (e.g., criminal justice, credit scoring) as well as modalities (e.g., structured data, images). Our first structured dataset is COMPAS [27], containing criminal history, jail and prison time, and demographic attributes of 6172 defendants, with class labels that represent whether each defendant was rearrested within 2 years of release. The second structured dataset is the German Credit dataset from the UCI repository [28] containing financial and demographic information (including account information, credit history, employment, gender) for 1000 loan applications, each labeled as a “good” or “bad” customer. We create 80/20 train/test splits for these two datasets, and train a random forest classifier (sklearn implementation with 100 estimators) as black box models for each (test accuracy of $8 2 . 8 \\%$ and $7 2 . 5 \\%$ , respectively). We also include popular image datasets–MNIST and Imagenet. For the MNIST [29] handwritten digits dataset, we train a 2-layer CNN to predict the digits (test accuracy of $9 9 . 2 \\%$ ). For Imagenet [30], we use the off-the-shelf VGG16 model [31] as the black box. We select a sample of 100 images of the following classes French Bulldog, Scuba Diver, Corn, and Broccoli to use in the experiments. For generating explanations, we use standard implementations of the baselines LIME and KernelSHAP with default settings [2, 4]. For images, we construct super pixels as described in [2] and use them as features (number of super pixels is fixed to 20 per image). For our framework, the desired level of certainty is expressed as the width of the $9 5 \\%$ credible interval. ", + "bbox": [ + 174, + 856, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/2efd1dd6a443caac7d848e203e6d424ec21eceafae245c5245181b231f109fe5.jpg", + "table_caption": [], + "table_footnote": [ + "Table 1: Evaluating Credible Intervals. We report the $\\%$ of time the $9 5 \\%$ credible intervals with 100 perturbations include their true values (estimated on 10, 000 perturbations). Closer to 95.0 is better. Both BayesLIME and BayesSHAP are well calibrated. " + ], + "table_body": "
BayesLIMEBayesSHAPBayesLIMEBayesSHAP
TABULAR DATASETSMNIST
COMPAS95.587.9Digit 195.898.4
German Credit96.989.6Digit 295.897.4
IMAGENETDigit 395.296.3
Corn94.691.8Digit 497.290.1
Broccoli91.489.2Digit 595.295.6
French Bulldog94.889.9Digit 696.796.8
Scuba Diver92.494.6Digit 795.795.3
", + "bbox": [ + 187, + 88, + 803, + 228 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 314, + 825, + 493 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Quality of Uncertainty Estimates A critical component of our explanations is the feature importance uncertainty. To evaluate the correctness of these estimates, we compute how often true feature importances lie within the $9 5 \\%$ credible intervals estimated by BayesLIME and BayesSHAP. Note, that by true feature importance, we refer to the best fit linear model output using either the LIME or SHAP kernels. We evaluate the quality of our credible interval estimates by running our methods with 100 perturbations to estimate feature importances and taking the corresponding $9 5 \\%$ credible intervals for each test instance. We compute what fraction of the true feature importances fall within our $9 5 \\%$ credible intervals. Note, because there are no methods to provide uncertainty estimates for LIME and SHAP, we do not provide further baselines. Since we do not have access to the true feature importances of the complex black box models, following Prop 3.2, we use feature importances computed using a large value of $N$ $( N = 1 0 , 0 0 0 )$ , and treat the resulting estimates as ground truth. ", + "bbox": [ + 174, + 506, + 825, + 659 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results for BayesLIME in Table 1 indicate that the true feature importances are close to ideal and indicate the estimates are well calibrated. While the estimates by BayesSHAP are somewhat less calibrated (true feature importances fall within our estimated $9 5 \\%$ credible intervals about 89.2 to $9 8 . 4 \\%$ of the time), they still are quite close to ideal. All in all, these results confirm that the credible intervals learned by our methods are well calibrated and therefore highly reliable in capturing the uncertainty of the feature importances. Lastly, though we set our priors to be uninformative in general, we also investigate how sensitive our uncertainty estimates are to hyperparameter choices in Figure 5 in the Appendix. We find that the explanation uncertainty becomes uncalibrated with strong priors. However, our explanations seem to be robust to hyperparameter choices in general. ", + "bbox": [ + 174, + 664, + 825, + 790 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Correctness of Estimated Number of Perturbations We assess whether our estimate of perturbations-to-go $G$ ; Section 3.2) is an accurate estimate of the additional number of perturbations needed to reach a desired level of feature importance certainty. We carry out this experiment on MNIST data for the digit $\" 4 > \"$ (additional datasets explored in Appendix C) and use $S = 2 0 0$ as the initial number of perturbations to obtain a preliminary explanation and its associated uncertainty estimates. We then leverage these estimates to compute $G$ for 6 different certainty levels. First, we observe significant differences in $G$ estimates across instances (details in appendix C) i.e. number of perturbations needed to obtain a particular level of certainty varied significantly across instances– ranging from 200-5, 000 for the lowest level of certainty to 200-20, 000 for higher levels of certainty. Next, for each image and certainty level, we run our method for the estimated number of perturbations $( G )$ to determine if the observed estimates of uncertainty (observed credible interval width $W$ ) match the desired levels of uncertainty (desired credible interval width $W$ ). Results in Figure 2 show that the observed and desired levels of certainty are well calibrated, demonstrating that $G$ estimates are reliable approximations of the additional number of perturbations needed. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/a1ce895bb1fbdbf243ad90abc4bbd6376035f01308ad9e7c0365cb10fc50cc0d.jpg", + "image_caption": [ + "Figure 2: Perturbations-to-go $( G )$ . We generate explanation with $G$ perturbations, where $G$ is computed using the desired credible interval width $\\mathbf { \\bar { X } }$ -axis), and compare desired levels to the observed credible interval width (y-axis) (blue line indicates ideal calibration). Results are averaged over 100 MNIST images of the digit $\" 4 > \"$ We see that $G$ provides a good approximation of the additional perturbations needed. " + ], + "image_footnote": [], + "bbox": [ + 196, + 98, + 800, + 265 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 378, + 825, + 462 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Efficiency of Focused Sampling Focused sampling uses the predictive variance to strategically choose perturbations that will reduce uncertainty in order to be labeled by the black box (section 3.3). Here, we will evaluate the efficiency of the focused sampling procedure. First, we assess whether focused sampling converges (as measured by error uncertainty $P ( \\epsilon = 0 ) )$ ) more efficiently than random sampling. To this end, we experiment with BayesLIME on Imagenet data for the “French bulldog” class to carry out this analysis. This setting replicates scenarios where LIME is applied to a computationally expensive black box model, making it highly desirable to limit the number of perturbations to reduce total running time. We run each sampling strategy for 2,000 perturbations and plot the number of model queries versus error uncertainty. During focused sampling, we set the batch size $B$ to 50. The results in Figure 3 show that focused sampling results in faster convergence to reliable and high quality explanations; focused sampling stabilizes within a couple hundred model queries while random sampling takes over 1,000. Note, as the inefficiency of querying the black box model increases, the advantages of focused sampling decreasing total running time of the explanations will only become more pronounced. These results clearly demonstrate that focused sampling can significantly speed up the process of generating high quality local explanations. Additionally, in Appendix C, we also check if focused sampling causes any bias (due to sampling based on uncertainty estimates) that results in convergence to a different/wrong explanation, however our results clearly indicate that this is not the case. ", + "bbox": [ + 173, + 474, + 825, + 723 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Stability of BayesLIME & BayesSHAP Recall that LIME & SHAP are not stable: small changes to instances can produce substantially different explanations. We consider whether BayesLIME & BayesSHAP produce more stable explanations than their LIME & SHAP counterparts. To perform this analysis, we use the local Lipschitz metric for explanation stability [18]: ", + "bbox": [ + 174, + 733, + 825, + 790 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/520ca044f1ba8cc0ca59bc40e01f2d02aa400e93eb6f6741a3ef7a14ee11a80c.jpg", + "text": "$$\n\\hat { L } ( x _ { i } ) = \\operatorname * { a r g m a x } _ { x _ { j } \\in N _ { \\epsilon } ( x _ { i } ) } \\frac { | | \\phi _ { i } - \\phi _ { j } | | _ { 2 } } { | | x _ { i } - x _ { j } | | _ { 2 } }\n$$", + "text_format": "latex", + "bbox": [ + 395, + 796, + 602, + 833 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "where $x _ { i }$ refers to an instance, $N _ { \\epsilon } ( x _ { i } )$ is the $\\epsilon$ -ball centered at $x _ { i }$ , and $\\phi _ { i }$ and $\\phi _ { j }$ are the explanation parameters for $x _ { i }$ and $x _ { j }$ . Lower values indicate more stable explanations. We follow the setup outline by Alvarez-Melis and Jaakkola [18] and compute the local Lipschitz values, comparing both LIME & BayesLIME and SHAP & BayesSHAP across Compas, German Credit, MNIST digit $\\cdot _ { 4 } \\cdot \\cdot$ , and Imagenet “French Bulldog.” We perform the comparison using the default number of perturbations in both LIME & SHAP, and use this same number in the respective Bayesian variants and set the batch size $B$ to half this value. We use focused sampling for BayesLIME and BayesSHAP, and report the $\\%$ increase in stability of these approaches over LIME and SHAP for 40 test points. The results given in Figure 4 show a clear improvement (on average $5 3 \\%$ ) in stability in all cases except German Credit for BayesSHAP. Further, we run a Wilcoxon signed-rank test and find our results are statistically significant in all cases $\\mathrm { / e < 1 e { - } 2 ) }$ except for BayesSHAP for German Credit, where there is not a significant difference between the methods $\\zeta _ { \\rho } > 0 . 0 5 )$ . These results demonstrate BayesLIME and BayesSHAP are more stable than previous methods. ", + "bbox": [ + 174, + 842, + 823, + 911 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/dbdcf8d6b10a60e362cba9afcfbbaed135a2dd3c956ce32266eb747c42dae508.jpg", + "image_caption": [ + "Figure 3: Efficiency of focused sampling for 100 Imagenet “French bulldog” images, with random sampling as a baseline. We provide mean and standard error. We assess the efficiency of focused sampling by comparing error uncertainty over model queries and show quicker convergence than random sampling. " + ], + "image_footnote": [], + "bbox": [ + 184, + 97, + 455, + 255 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/988605277650e44dda266f35f97a56551dc27c3e649264948462a5108a6c7e8f.jpg", + "image_caption": [ + "Figure 4: Assessing the $\\%$ increase in stability of BayesLIME and BayesSHAP over LIME and SHAP respectively. Our Bayesian methods are significant more stable $\\rho \\ < \\ 1 { \\mathrm { e } } { \\mathrm { - } } 2$ according to Wilcoxon signed-rank test) except for BayesSHAP on German Credit, where there is not a significant difference between the methods $\\zeta _ { \\rho } > 0 . 0 5 )$ . " + ], + "image_footnote": [], + "bbox": [ + 498, + 94, + 787, + 256 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 385, + 825, + 496 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "User Study We perform a user study with 31 subjects to compare BayesLIME and LIME explanations on MNIST. We evaluate the following: are explanations with low levels of uncertainty (i.e., most confident explanations) more meaningful to humans? To answer this question, we follow prior work and mask the most important features selected by BayesLIME and LIME [32, 4]. We ask users to guess the digit of the masked images. The better the explanation, the more difficult it should be for the users to get it right. Further, the choice to mask the important features is motivated by its success in prior work. We randomly select 15 correctly predicted test images, generate explanations by sweeping over a range of perturbation amounts $[ 1 \\dot { 0 } ^ { 5 } , . . . , 1 0 ^ { 3 . 5 } ]$ incremented by 0.5. We choose the top explanation for each image based on either fidelity (for LIME) or $P ( \\epsilon = 0 )$ (for BayesLIME). We sent the user study out to students and researchers with background in computer science. A screen shot of the task is shown in Figure 7 in the Appendix. We find that the explanations output by our methods focus on more informative parts of the image, since hiding them makes it difficult for humans to guess the digit. Users had an error rate of $2 5 . 7 \\%$ for LIME, while it was $3 0 . 7 \\%$ for BayesLIME, both with standard error 0.003 $\\mathrm { \\Delta } \\rho = 0 . 0 2 8$ through a one-tailed two sample t-test). This result indicates that our method BayesLIME and the associated measure of explanation uncertainty result in more high quality and reliable explanations compared to LIME and its associated fidelity metric. ", + "bbox": [ + 174, + 508, + 825, + 742 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 762, + 321, + 780 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Interpretability Methods A variety of interpretability methods have been proposed. Some methods that are inherently interpretable include additive models [33, 34], decision lists and sets [35, 36], and instance-based explanations [37]. However, black-box models are often more flexible, accurate, and easier to use; thus, there has been a lot of interest in constructing post hoc explanations[38]. These include LIME [2] and SHAP [4, 39], which are among the most popular due to their broad applicability and code availability, but saliency maps [5–8], permutation feature importance [40], and partial dependency plots [41] also follow this paradigm. Other approaches to post hoc explanations focus on rule-based models [1, 3], counterfactuals [42, 43], and influence functions [9]. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Vulnerabilities of Post hoc Explanations Recent work has shed light on the downsides of post hoc explanation techniques. These methods are often highly sensitive to small changes in inputs [14], are susceptible to manipulation [15, 16, 44, 45], and are not faithful to the underlying black boxes [46]. Perturbation-based explanation methods such as LIME and SHAP are subject to additional criticisms: results vary between runs of the algorithms [18–20, 47, 21], and hyperparameters used to select the perturbations can greatly influence the resulting explanation [20]. Prior work has attempted to tackle the problem of instability in perturbation-based explanations by averaging over several explanations [48, 19], however, this is computationally expensive. Other works related to creating more trustworthy explanations include development of sanity checks for explainers [49, 17, 50]. These techniques represent an important step towards improved usability, given experimental evidence that humans are often too eager to accept inaccurate machine explanations [51–54]. Recent works theoretically analyze the sources of non-robustness in black box explanations [55–57]. ", + "bbox": [ + 174, + 90, + 825, + 257 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Logical and Formal Reasoning Additional related works have considered explaining classifiers through identifying a subset of features that are “sufficient” to explain a prediction [58–62]. Though these methods offer strong guarantees surrounding which features ensure a prediction is achieved, they are not model agnostic. Further, they do not define feature importances associated with the local explanations nor consider ways to improve locally weighted explanations, such as LIME and SHAP. ", + "bbox": [ + 174, + 268, + 825, + 338 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Bayesian Methods in Explainable ML Few recent works have adopted Bayesian formulations to explain black box models [63–65]. Guo et al. [63] introduce a Bayesian non-parametric approach to fit a global surrogate model. Their formulation seeks to fit a mixture of generalizable explanations across instances. Zhao et al. [64] study whether incorporating informative priors improves the stability of the resulting explanations. However, neither of these works focus on modeling the uncertainty of local explanations. Further, these approaches also do not tackle the critical problems of estimating key hyperparameters or improving efficiency of computing explanations. ", + "bbox": [ + 174, + 349, + 825, + 446 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 467, + 299, + 483 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We developed a Bayesian framework for generating local explanations along with their associated uncertainty. We instantiated this framework to obtain Bayesian versions of LIME and SHAP that output pointwise estimates of feature importances as well as their associated credible intervals. These intervals enabled us to infer the quality of the explanations and output explanations that satisfied user specified levels of uncertainty. We carried out theoretical analysis that leverages these uncertainty measures (credible intervals) to estimate the values of critical hyperparameters (e.g., the number of perturbations). We also proposed a novel sampling technique called focused sampling that leverages uncertainty estimates to determine how to sample perturbations for faster convergence. ", + "bbox": [ + 174, + 497, + 825, + 608 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "While the Bayesian framework addresses several critical challenges (i.e., consistency, stability, modeling uncertainty) associated with LIME and SHAP, there are still certain aspects where it would exhibit the same shortcomings as LIME and SHAP [4, 66]. For instance, if the local decision surface of a given black box classifier is highly non-linear, our framework, which relies on local linear approximations, may not be able to capture this non-linear decision surface accurately. In addition, if the perturbation sampling procedures used in LIME and SHAP are used in BayesLIME and BayesSHAP, they will likely be vulnerable to the attacks proposed by Slack et al. [15]. In the future, it would be interesting to extend our framework to produce global explanations with uncertainty guarantees and explore how uncertainty quantification can help calibrate user trust in model explanations. ", + "bbox": [ + 174, + 614, + 825, + 753 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "7 Acknowledgments ", + "text_level": 1, + "bbox": [ + 174, + 772, + 357, + 790 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We would like to thank the anonymous reviewers for their insightful feedback. This work is supported in part by the NSF awards #IIS-2008461, #IIS-2008956, and #IIS-2040989, and research awards from the Harvard Data Science Institute, Amazon, Bayer, Google, and the HPI Research Center in Machine Learning and Data Science at UC Irvine. The views expressed are those of the authors and do not reflect the official policy or position of the funding agencies. ", + "bbox": [ + 174, + 803, + 825, + 873 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References \n[1] Marco Tulio Ribeiro, Sameer Singh, and Carlos Guestrin. Anchors: High-precision modelagnostic explanations. 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In addition, these methods", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 470, + 334 + ], + "score": 1.0, + "content": "are also computationally inefficient, and require significant hyper-parameter tuning.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 331, + 470, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 331, + 470, + 345 + ], + "score": 1.0, + "content": "In this paper, we address the aforementioned challenges by developing a novel", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "score": 1.0, + "content": "Bayesian framework for generating local explanations along with their associated", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 354, + 469, + 366 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 469, + 366 + ], + "score": 1.0, + "content": "uncertainty. We instantiate this framework to obtain Bayesian versions of LIME and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 364, + 469, + 378 + ], + "spans": [ + { + "bbox": [ + 141, + 364, + 469, + 378 + ], + "score": 1.0, + "content": "KernelSHAP which output credible intervals for the feature importances, capturing", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 376, + 469, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 376, + 469, + 389 + ], + "score": 1.0, + "content": "the associated uncertainty. The resulting explanations not only enable us to make", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 387, + 470, + 399 + ], + "spans": [ + { + "bbox": [ + 141, + 387, + 356, + 399 + ], + "score": 1.0, + "content": "concrete inferences about their quality (e.g., there is a", + "type": "text" + }, + { + "bbox": [ + 357, + 387, + 376, + 397 + ], + "score": 0.87, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 387, + 470, + 399 + ], + "score": 1.0, + "content": "chance that the feature", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 398, + 470, + 410 + ], + "spans": [ + { + "bbox": [ + 141, + 398, + 470, + 410 + ], + "score": 1.0, + "content": "importance lies within the given range), but are also highly consistent and stable.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 409, + 470, + 421 + ], + "spans": [ + { + "bbox": [ + 141, + 409, + 470, + 421 + ], + "score": 1.0, + "content": "We carry out a detailed theoretical analysis that leverages the aforementioned", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 420, + 470, + 432 + ], + "spans": [ + { + "bbox": [ + 141, + 420, + 470, + 432 + ], + "score": 1.0, + "content": "uncertainty to estimate how many perturbations to sample, and how to sample for", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 141, + 431, + 470, + 442 + ], + "spans": [ + { + "bbox": [ + 141, + 431, + 470, + 442 + ], + "score": 1.0, + "content": "faster convergence. 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Experimental evaluation with multiple real world datasets and user studies", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 141, + 474, + 374, + 486 + ], + "spans": [ + { + "bbox": [ + 141, + 474, + 374, + 486 + ], + "score": 1.0, + "content": "demonstrate that the efficacy of the proposed framework.1", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 24.5, + "bbox_fs": [ + 141, + 267, + 470, + 486 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 507, + 190, + 521 + ], + "lines": [ + { + "bbox": [ + 105, + 506, + 192, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 192, + 523 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 532, + 505, + 631 + ], + "lines": [ + { + "bbox": [ + 106, + 533, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 505, + 545 + ], + "score": 1.0, + "content": "As machine learning (ML) models get increasingly deployed in domains such as healthcare and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 544, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 505, + 555 + ], + "score": 1.0, + "content": "criminal justice, it is important to ensure that decision makers have a clear understanding of the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "score": 1.0, + "content": "behavior of these models. 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Explanations generated", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 646, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 506, + 660 + ], + "score": 1.0, + "content": "using these methods may be unstable [14–18], i.e., negligibly small perturbations to an instance", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 657, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 506, + 672 + ], + "score": 1.0, + "content": "can result in substantially different explanations. 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While LIME produces very different", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "score": 1.0, + "content": "and contradictory feature importance for different number of perturbations (1a and 1b), BayesLIME", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 235, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 246 + ], + "score": 1.0, + "content": "provides more context. The overlapping uncertainty intervals in the explanation computed with 100", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "score": 1.0, + "content": "perturbations (1a) indicate that it is unclear which feature is the most important. However, the tighter", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 256, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 256, + 506, + 268 + ], + "score": 1.0, + "content": "uncertainty intervals in the explanation computed with 2K perturbations (1b) clearly indicates that", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 267, + 229, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 229, + 279 + ], + "score": 1.0, + "content": "Female is the most important.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + } + ], + "index": 11.0 + }, + { + "type": "text", + "bbox": [ + 118, + 173, + 296, + 184 + ], + "lines": [ + { + "bbox": [ + 117, + 172, + 298, + 186 + ], + "spans": [ + { + "bbox": [ + 117, + 172, + 298, + 186 + ], + "score": 1.0, + "content": "(a) Explanation computed with 100 perturbations", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 301, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "output by these methods. Commonly used metrics such as explanation fidelity rely heavily on the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "score": 1.0, + "content": "implementation details of the explanation method (e.g., the perturbation function used in LIME)", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 324, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 506, + 336 + ], + "score": 1.0, + "content": "and do not provide a true picture of the explanation quality [20]. Furthermore, there exists little to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 334, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 505, + 346 + ], + "score": 1.0, + "content": "no guidance on determining the values of certain hyperparameters that are critical to the quality of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "the resulting local explanations (e.g., number of perturbations in case of LIME). Local explanation", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "methods are also computationally inefficient i.e., they typically require a large number of black box", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 367, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 379 + ], + "score": 1.0, + "content": "model queries to construct local approximations [21]. This can be prohibitively slow especially in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 378, + 235, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 235, + 390 + ], + "score": 1.0, + "content": "case of complex neural models.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "score": 1.0, + "content": "In this paper, we identify that modeling uncertainty in black box explanations is the key to addressing", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "score": 1.0, + "content": "all the aforementioned challenges. To this end, we propose a novel Bayesian framework for generating", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "local explanations along with their associated uncertainty. We instantiate this framework to obtain", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "score": 1.0, + "content": "Bayesian versions of LIME and KernelSHAP, namely BayesLIME and BayesSHAP, that not only", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "output point-wise estimates of feature importance but also their associated uncertainty in the form", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "of credible intervals (See Figure 1). We derive closed form expressions for the posteriors of the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "explanations thereby eliminating the need for any additional computational complexity. The credible", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 471, + 504, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 504, + 483 + ], + "score": 1.0, + "content": "intervals produced by our framework not only allow us to make concrete inferences about the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "score": 1.0, + "content": "quality of the resulting explanations but also produce explanations that satisfy user specified levels", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 493, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 438, + 505 + ], + "score": 1.0, + "content": "of uncertainty (e.g., an end user may request for explanations that satisfy a certain", + "type": "text" + }, + { + "bbox": [ + 438, + 493, + 458, + 503 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 493, + 506, + 505 + ], + "score": 1.0, + "content": "confidence", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 503, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 517 + ], + "score": 1.0, + "content": "level). In addition, the resulting explanations are also highly consistent and stable. To the best of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "our knowledge, this work makes the first attempt at addressing several critical challenges in popular", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "explanation methods in one-shots, thereby generating consistent, stable, and reliable explanations", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 536, + 327, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 327, + 549 + ], + "score": 1.0, + "content": "with guarantees in a computationally efficient manner.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 552, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "We carry out theoretical analysis that leverages the measures of uncertainty (credible intervals)", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "produced by our framework to estimate the values of critical hyperparameters. More specifically, we", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "derive a closed form expression for the number of perturbations required to generate explanations", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "that satisfy desired levels of confidence. We also propose a novel sampling technique called focused", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 595, + 507, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 507, + 610 + ], + "score": 1.0, + "content": "sampling that leverages uncertainty to determine how to sample perturbations for faster convergence,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 606, + 490, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 490, + 620 + ], + "score": 1.0, + "content": "thereby enabling our framework to generate explanations in a computationally efficient manner.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 46.5 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "We evaluate the efficacy of the proposed framework on a variety of datasets including COMPAS,", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 634, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 506, + 648 + ], + "score": 1.0, + "content": "German Credit, ImageNet, and MNIST. Our results demonstrate that the explanations output by our", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 414, + 658 + ], + "score": 1.0, + "content": "framework are not only highly reliable, but also very consistent and stable", + "type": "text" + }, + { + "bbox": [ + 414, + 645, + 434, + 656 + ], + "score": 0.86, + "content": "5 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "more stable than", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "LIME/SHAP on an average). Our experimental results also confirm that we can accurately estimate", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "the number of perturbations needed to generate explanations with a desired level of uncertainty, and", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "that our uncertainty sampling technique speeds up the process of generating explanations by up to a", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "score": 1.0, + "content": "factor of 2 relative to random sampling of perturbations. Lastly, we carry out a user study with 31", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 104, + 698, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 104, + 698, + 505, + 714 + ], + "score": 1.0, + "content": "human subjects to evaluate the quality of the explanations generated by our framework, demonstrating", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 711, + 456, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 456, + 723 + ], + "score": 1.0, + "content": "that our explanations accurately capture the importance of the most influential features.", + "type": "text" + } + ], + "index": 58 + } + ], + "index": 54 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 313, + 83, + 496, + 162 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 313, + 83, + 496, + 162 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 313, + 83, + 496, + 162 + ], + "spans": [ + { + "bbox": [ + 313, + 83, + 496, + 162 + ], + "score": 0.953, + "type": "image", + "image_path": "d47efc4990be75e69296fffac100fa38760e5883dfb996999588185ce3d0e586.jpg" + } + ] + } + ], + "index": 8.5, + "virtual_lines": [ + { + "bbox": [ + 313, + 83, + 496, + 96.16666666666667 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 313, + 96.16666666666667, + 496, + 109.33333333333334 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 313, + 109.33333333333334, + 496, + 122.50000000000001 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 313, + 122.50000000000001, + 496, + 135.66666666666669 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 313, + 135.66666666666669, + 496, + 148.83333333333334 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 313, + 148.83333333333334, + 496, + 162.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 331, + 174, + 477, + 184 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 329, + 172, + 478, + 185 + ], + "spans": [ + { + "bbox": [ + 329, + 172, + 478, + 185 + ], + "score": 1.0, + "content": "(b) Explanation with 2000 perturbations", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + } + ], + "index": 10.75 + }, + { + "type": "image", + "bbox": [ + 117, + 83, + 299, + 163 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 117, + 83, + 299, + 163 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 117, + 83, + 299, + 163 + ], + "spans": [ + { + "bbox": [ + 117, + 83, + 299, + 163 + ], + "score": 0.959, + "type": "image", + "image_path": "3f716bc0fdf329c8651b34a0ee8151d109ef2249803f50f834c077a2687e7548.jpg" + } + ] + } + ], + "index": 4.5, + "virtual_lines": [ + { + "bbox": [ + 117, + 83, + 299, + 96.33333333333333 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 117, + 96.33333333333333, + 299, + 109.66666666666666 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 117, + 109.66666666666666, + 299, + 122.99999999999999 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 117, + 122.99999999999999, + 299, + 136.33333333333331 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 117, + 136.33333333333331, + 299, + 149.66666666666666 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 117, + 149.66666666666666, + 299, + 163.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 190, + 505, + 278 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "score": 1.0, + "content": "Figure 1: Example explanations on for an instance from the COMPAS dataset, where vertical lines", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "score": 1.0, + "content": "indicate the feature importance by LIME (red is negative effect, green is positive) and the shaded", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 212, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 212, + 506, + 225 + ], + "score": 1.0, + "content": "region visualizes the uncertainty estimated by BayesLIME. While LIME produces very different", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "score": 1.0, + "content": "and contradictory feature importance for different number of perturbations (1a and 1b), BayesLIME", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 235, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 505, + 246 + ], + "score": 1.0, + "content": "provides more context. The overlapping uncertainty intervals in the explanation computed with 100", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "score": 1.0, + "content": "perturbations (1a) indicate that it is unclear which feature is the most important. However, the tighter", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 256, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 256, + 506, + 268 + ], + "score": 1.0, + "content": "uncertainty intervals in the explanation computed with 2K perturbations (1b) clearly indicates that", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 267, + 229, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 229, + 279 + ], + "score": 1.0, + "content": "Female is the most important.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + } + ], + "index": 11.0 + }, + { + "type": "text", + "bbox": [ + 118, + 173, + 296, + 184 + ], + "lines": [ + { + "bbox": [ + 117, + 172, + 298, + 186 + ], + "spans": [ + { + "bbox": [ + 117, + 172, + 298, + 186 + ], + "score": 1.0, + "content": "(a) Explanation computed with 100 perturbations", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12, + "bbox_fs": [ + 117, + 172, + 298, + 186 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 301, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "output by these methods. Commonly used metrics such as explanation fidelity rely heavily on the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "score": 1.0, + "content": "implementation details of the explanation method (e.g., the perturbation function used in LIME)", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 324, + 506, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 506, + 336 + ], + "score": 1.0, + "content": "and do not provide a true picture of the explanation quality [20]. Furthermore, there exists little to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 334, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 505, + 346 + ], + "score": 1.0, + "content": "no guidance on determining the values of certain hyperparameters that are critical to the quality of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "the resulting local explanations (e.g., number of perturbations in case of LIME). Local explanation", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "methods are also computationally inefficient i.e., they typically require a large number of black box", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 367, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 379 + ], + "score": 1.0, + "content": "model queries to construct local approximations [21]. This can be prohibitively slow especially in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 378, + 235, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 235, + 390 + ], + "score": 1.0, + "content": "case of complex neural models.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 301, + 506, + 390 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "score": 1.0, + "content": "In this paper, we identify that modeling uncertainty in black box explanations is the key to addressing", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 419 + ], + "score": 1.0, + "content": "all the aforementioned challenges. To this end, we propose a novel Bayesian framework for generating", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "local explanations along with their associated uncertainty. We instantiate this framework to obtain", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "score": 1.0, + "content": "Bayesian versions of LIME and KernelSHAP, namely BayesLIME and BayesSHAP, that not only", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "output point-wise estimates of feature importance but also their associated uncertainty in the form", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "of credible intervals (See Figure 1). We derive closed form expressions for the posteriors of the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 505, + 472 + ], + "score": 1.0, + "content": "explanations thereby eliminating the need for any additional computational complexity. The credible", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 471, + 504, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 504, + 483 + ], + "score": 1.0, + "content": "intervals produced by our framework not only allow us to make concrete inferences about the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "score": 1.0, + "content": "quality of the resulting explanations but also produce explanations that satisfy user specified levels", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 493, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 438, + 505 + ], + "score": 1.0, + "content": "of uncertainty (e.g., an end user may request for explanations that satisfy a certain", + "type": "text" + }, + { + "bbox": [ + 438, + 493, + 458, + 503 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 493, + 506, + 505 + ], + "score": 1.0, + "content": "confidence", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 503, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 517 + ], + "score": 1.0, + "content": "level). In addition, the resulting explanations are also highly consistent and stable. To the best of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "our knowledge, this work makes the first attempt at addressing several critical challenges in popular", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "explanation methods in one-shots, thereby generating consistent, stable, and reliable explanations", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 536, + 327, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 327, + 549 + ], + "score": 1.0, + "content": "with guarantees in a computationally efficient manner.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 393, + 506, + 549 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 552, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "We carry out theoretical analysis that leverages the measures of uncertainty (credible intervals)", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "produced by our framework to estimate the values of critical hyperparameters. More specifically, we", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "derive a closed form expression for the number of perturbations required to generate explanations", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "that satisfy desired levels of confidence. We also propose a novel sampling technique called focused", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 595, + 507, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 507, + 610 + ], + "score": 1.0, + "content": "sampling that leverages uncertainty to determine how to sample perturbations for faster convergence,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 606, + 490, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 490, + 620 + ], + "score": 1.0, + "content": "thereby enabling our framework to generate explanations in a computationally efficient manner.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 46.5, + "bbox_fs": [ + 105, + 552, + 507, + 620 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "We evaluate the efficacy of the proposed framework on a variety of datasets including COMPAS,", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 634, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 506, + 648 + ], + "score": 1.0, + "content": "German Credit, ImageNet, and MNIST. Our results demonstrate that the explanations output by our", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 414, + 658 + ], + "score": 1.0, + "content": "framework are not only highly reliable, but also very consistent and stable", + "type": "text" + }, + { + "bbox": [ + 414, + 645, + 434, + 656 + ], + "score": 0.86, + "content": "5 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "more stable than", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "LIME/SHAP on an average). Our experimental results also confirm that we can accurately estimate", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "the number of perturbations needed to generate explanations with a desired level of uncertainty, and", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "that our uncertainty sampling technique speeds up the process of generating explanations by up to a", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 703 + ], + "score": 1.0, + "content": "factor of 2 relative to random sampling of perturbations. 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To this end, we propose", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "score": 1.0, + "content": "a Bayesian framework for constructing local linear model based explanations and capturing their", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 449, + 550 + ], + "score": 1.0, + "content": "associated uncertainty. We model the black box prediction of each perturbation", + "type": "text" + }, + { + "bbox": [ + 450, + 539, + 456, + 547 + ], + "score": 0.74, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 537, + 506, + 550 + ], + "score": 1.0, + "content": "as a linear", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 306, + 561 + ], + "score": 1.0, + "content": "combination of the corresponding feature values", + "type": "text" + }, + { + "bbox": [ + 306, + 547, + 331, + 559 + ], + "score": 0.92, + "content": "( \\phi ^ { \\dot { T } } z )", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 547, + 506, + 561 + ], + "score": 1.0, + "content": "plus an error term (\u000f) as shown in Eqn (4).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 558, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 281, + 570 + ], + "score": 1.0, + "content": "While the weights of the linear combination", + "type": "text" + }, + { + "bbox": [ + 281, + 559, + 289, + 570 + ], + "score": 0.85, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 558, + 505, + 570 + ], + "score": 1.0, + "content": "capture the feature importances and thereby constitute", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 570, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 174, + 582 + ], + "score": 1.0, + "content": "our explanation,", + "type": "text" + }, + { + "bbox": [ + 174, + 572, + 180, + 580 + ], + "score": 0.67, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 570, + 479, + 582 + ], + "score": 1.0, + "content": "captures the error that arises due to the mismatch between our explanation", + "type": "text" + }, + { + "bbox": [ + 480, + 570, + 487, + 581 + ], + "score": 0.85, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 570, + 506, + 582 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 581, + 506, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 299, + 593 + ], + "score": 1.0, + "content": "the local decision surface of the black box model", + "type": "text" + }, + { + "bbox": [ + 300, + 581, + 307, + 592 + ], + "score": 0.82, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 581, + 506, + 593 + ], + "score": 1.0, + "content": ". Our complete generative process is shown below:", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 504, + 506, + 593 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 597, + 396, + 642 + ], + "lines": [ + { + "bbox": [ + 215, + 597, + 396, + 642 + ], + "spans": [ + { + "bbox": [ + 215, + 597, + 396, + 642 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } & { } & { y | z , \\phi , \\epsilon \\sim \\phi ^ { T } z + \\epsilon \\qquad \\epsilon \\sim \\mathcal { N } ( 0 , \\displaystyle \\frac { \\sigma ^ { 2 } } { \\pi _ { x } ( z ) } ) } \\\\ & { } & { \\phi | \\sigma ^ { 2 } \\sim \\mathcal { N } ( 0 , \\sigma ^ { 2 } \\mathbb { I } ) \\qquad \\sigma ^ { 2 } \\sim \\mathrm { I n v } - \\chi ^ { 2 } ( n _ { 0 } , \\sigma _ { 0 } ^ { 2 } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "d6895be82c9552d896bdeba4d8aa98055324bd5c698e6bfedb43377deffa4bb8.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 215, + 597, + 396, + 612.0 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 215, + 612.0, + 396, + 627.0 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 215, + 627.0, + 396, + 642.0 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 650, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 463, + 664 + ], + "score": 1.0, + "content": "The error term is modeled as a Gaussian whose variance relies on the proximity function", + "type": "text" + }, + { + "bbox": [ + 463, + 651, + 487, + 663 + ], + "score": 0.94, + "content": "\\pi _ { x } ( z )", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 649, + 506, + 664 + ], + "score": 1.0, + "content": "i.e.,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 660, + 509, + 681 + ], + "spans": [ + { + "bbox": [ + 107, + 663, + 174, + 680 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\epsilon \\sim \\mathcal { N } ( 0 , \\frac { \\sigma ^ { 2 } } { \\pi _ { x } ( z ) } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 660, + 482, + 681 + ], + "score": 1.0, + "content": ". This proximity function ensures that perturbations closer to the data point", + "type": "text" + }, + { + "bbox": [ + 482, + 667, + 489, + 675 + ], + "score": 0.76, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 660, + 509, + 681 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 676, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 691 + ], + "score": 1.0, + "content": "modeled accurately, while allowing more room for error in case of perturbations that are farther away.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 107, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 107, + 689, + 131, + 700 + ], + "score": 0.92, + "content": "\\pi _ { x } ( z )", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 689, + 265, + 702 + ], + "score": 1.0, + "content": "can be computed using cosine or", + "type": "text" + }, + { + "bbox": [ + 266, + 690, + 273, + 700 + ], + "score": 0.87, + "content": "l _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "distance or other game theoretic principles similar to that", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 698, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 380, + 713 + ], + "score": 1.0, + "content": "of LIME and KernelSHAP (see Section 2). The conjugate priors on", + "type": "text" + }, + { + "bbox": [ + 380, + 700, + 387, + 712 + ], + "score": 0.85, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 698, + 405, + 713 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 405, + 699, + 417, + 710 + ], + "score": 0.87, + "content": "\\bar { \\sigma } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 698, + 506, + 713 + ], + "score": 1.0, + "content": "are shown in Eqn (4).", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 710, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 249, + 723 + ], + "score": 1.0, + "content": "Note that, the distributions on error", + "type": "text" + }, + { + "bbox": [ + 249, + 714, + 254, + 720 + ], + "score": 0.75, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 710, + 349, + 723 + ], + "score": 1.0, + "content": "and feature importance", + "type": "text" + }, + { + "bbox": [ + 350, + 712, + 357, + 722 + ], + "score": 0.87, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 710, + 471, + 723 + ], + "score": 1.0, + "content": "both consider the parameter", + "type": "text" + }, + { + "bbox": [ + 471, + 711, + 483, + 721 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 710, + 506, + 723 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 326, + 85 + ], + "score": 1.0, + "content": "fact that the prior on the feature importances considers", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 326, + 72, + 338, + 83 + ], + "score": 0.88, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 338, + 72, + 505, + 85 + ], + "score": 1.0, + "content": "has an intuitive interpretation: if we have", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "prior knowledge that the error of the explanation is small, we expect to be more confident about the", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 106 + ], + "score": 1.0, + "content": "feature importances. Similarly, if we have prior knowledge the error is large, we expect to be less", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 269, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 269, + 118 + ], + "score": 1.0, + "content": "confident about the feature importances.", + "type": "text", + "cross_page": true + } + ], + "index": 3 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 649, + 509, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 326, + 85 + ], + "score": 1.0, + "content": "fact that the prior on the feature importances considers", + "type": "text" + }, + { + "bbox": [ + 326, + 72, + 338, + 83 + ], + "score": 0.88, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 72, + 505, + 85 + ], + "score": 1.0, + "content": "has an intuitive interpretation: if we have", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "prior knowledge that the error of the explanation is small, we expect to be more confident about the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 106 + ], + "score": 1.0, + "content": "feature importances. Similarly, if we have prior knowledge the error is large, we expect to be less", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 269, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 269, + 118 + ], + "score": 1.0, + "content": "confident about the feature importances.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 106, + 121, + 505, + 188 + ], + "lines": [ + { + "bbox": [ + 106, + 122, + 506, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 506, + 133 + ], + "score": 1.0, + "content": "Thus, our generative process corresponds to the Bayesian version of the weighted least squares for-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 132, + 507, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 507, + 145 + ], + "score": 1.0, + "content": "mulation of LIME and KernelSHAP outlined in Eqn. (1), with additional terms to model uncertainty.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "As in Eqns. (4), the process captures two sources of uncertainty in local explanations: 1) feature", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 437, + 167 + ], + "score": 1.0, + "content": "importance uncertainty: the uncertainty associated with the feature importances", + "type": "text" + }, + { + "bbox": [ + 438, + 155, + 445, + 166 + ], + "score": 0.82, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 154, + 505, + 167 + ], + "score": 1.0, + "content": ", and (2) error", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 336, + 177 + ], + "score": 1.0, + "content": "uncertainty: the uncertainty associated with the error term", + "type": "text" + }, + { + "bbox": [ + 337, + 168, + 343, + 175 + ], + "score": 0.63, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 166, + 505, + 177 + ], + "score": 1.0, + "content": "which captures how well our explanation", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 107, + 177, + 365, + 188 + ], + "spans": [ + { + "bbox": [ + 107, + 177, + 114, + 188 + ], + "score": 0.82, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 177, + 365, + 188 + ], + "score": 1.0, + "content": "models the local decision surface of the underlying black box.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 196, + 505, + 241 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 450, + 209 + ], + "score": 1.0, + "content": "Inference Our inference process involves estimating the values of two key parameters:", + "type": "text" + }, + { + "bbox": [ + 451, + 198, + 458, + 208 + ], + "score": 0.84, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 196, + 475, + 209 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 475, + 196, + 487, + 207 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 196, + 505, + 209 + ], + "score": 1.0, + "content": ". By", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 506, + 221 + ], + "score": 1.0, + "content": "doing so, we can compute the local explanation as well as the uncertainties associated with feature", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 217, + 507, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 217, + 343, + 232 + ], + "score": 1.0, + "content": "importances and the error term. Posterior distributions on", + "type": "text" + }, + { + "bbox": [ + 344, + 219, + 351, + 230 + ], + "score": 0.85, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 217, + 369, + 232 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 370, + 218, + 381, + 229 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 217, + 491, + 232 + ], + "score": 1.0, + "content": "are normal and scaled Inv-", + "type": "text" + }, + { + "bbox": [ + 491, + 219, + 502, + 231 + ], + "score": 0.87, + "content": "\\chi ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 217, + 507, + 232 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 349, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 349, + 243 + ], + "score": 1.0, + "content": "respectively, due to the corresponding conjugate priors [22]:", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 199, + 243, + 411, + 289 + ], + "lines": [ + { + "bbox": [ + 199, + 243, + 411, + 289 + ], + "spans": [ + { + "bbox": [ + 199, + 243, + 411, + 289 + ], + "score": 0.91, + "content": "\\begin{array} { r l } & { \\sigma ^ { 2 } | \\mathcal { Z } , Y \\sim \\mathrm { S c a l e d - I n v - } \\chi ^ { 2 } \\left( n _ { 0 } + N , \\frac { n _ { 0 } \\sigma _ { 0 } ^ { 2 } + N s ^ { 2 } } { n _ { 0 } + N } \\right) } \\\\ & { \\phi | \\sigma ^ { 2 } , \\mathcal { Z } , Y \\sim \\mathrm { N o r m a l } ( \\hat { \\phi } , V _ { \\phi } \\sigma ^ { 2 } ) } \\end{array}", + "type": "interline_equation", + "image_path": "ce99269200b8311cd63ef3c46c41140dd45c6a22a0c985b5bfc62b9be77124a6.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 199, + 243, + 411, + 258.3333333333333 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 199, + 258.3333333333333, + 411, + 273.66666666666663 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 199, + 273.66666666666663, + 411, + 288.99999999999994 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 291, + 300, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 288, + 302, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 140, + 307 + ], + "score": 1.0, + "content": "Further,", + "type": "text" + }, + { + "bbox": [ + 141, + 290, + 163, + 305 + ], + "score": 0.89, + "content": "\\hat { \\phi } , V _ { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 288, + 184, + 307 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 185, + 291, + 195, + 302 + ], + "score": 0.87, + "content": "s ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 288, + 302, + 307 + ], + "score": 1.0, + "content": "can be directly computed:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 195, + 306, + 415, + 366 + ], + "lines": [ + { + "bbox": [ + 195, + 306, + 415, + 366 + ], + "spans": [ + { + "bbox": [ + 195, + 306, + 415, + 366 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\hat { \\phi } = V _ { \\phi } ( \\mathcal { Z } ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) Y ) } \\\\ & { V _ { \\phi } = \\left( \\mathcal { Z } ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) \\mathcal { Z } + \\mathbb { I } \\right) ^ { - 1 } } \\\\ & { s ^ { 2 } = \\displaystyle \\frac { 1 } { N } \\left[ ( Y - \\mathcal { Z } \\hat { \\phi } ) ^ { T } \\mathrm { d i a g } ( \\Pi _ { x } ( \\mathcal { Z } ) ) ( Y - \\mathcal { Z } \\hat { \\phi } ) + \\hat { \\phi } ^ { T } \\hat { \\phi } \\right] } \\end{array}", + "type": "interline_equation", + "image_path": "756ed874aec151dfbac77feb2be03dd078941ebbec8dbb8c6401fcce987809c5.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 195, + 306, + 415, + 321.0 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 195, + 321.0, + 415, + 336.0 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 195, + 336.0, + 415, + 351.0 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 195, + 351.0, + 415, + 366.0 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 367, + 503, + 402 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 379 + ], + "score": 1.0, + "content": "Details of the complete inference procedure including derivations of Eqns. (5-7) are provided in the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 378, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 428, + 391 + ], + "score": 1.0, + "content": "Appendix A. Note that our estimate of the posterior mean feature importances", + "type": "text" + }, + { + "bbox": [ + 429, + 378, + 437, + 390 + ], + "score": 0.85, + "content": "\\hat { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 379, + 505, + 391 + ], + "score": 1.0, + "content": "(Eqn. (6)) is the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 389, + 489, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 489, + 403 + ], + "score": 1.0, + "content": "same as that of the feature importances computed in case of LIME and KernelSHAP (Eqn. (2)).", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 403, + 505, + 439 + ], + "lines": [ + { + "bbox": [ + 105, + 403, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 322, + 417 + ], + "score": 1.0, + "content": "Remark 3.1. If we use the same proximity function", + "type": "text" + }, + { + "bbox": [ + 322, + 403, + 347, + 416 + ], + "score": 0.91, + "content": "\\pi _ { x } ( z )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 403, + 506, + 417 + ], + "score": 1.0, + "content": "in our framework as in LIME or Ker-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 330, + 430 + ], + "score": 1.0, + "content": "nelSHAP, the posterior mean of the feature importance", + "type": "text" + }, + { + "bbox": [ + 330, + 416, + 337, + 428 + ], + "score": 0.82, + "content": "\\hat { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 416, + 443, + 430 + ], + "score": 1.0, + "content": "output by our framework", + "type": "text" + }, + { + "bbox": [ + 444, + 417, + 457, + 429 + ], + "score": 0.25, + "content": "E q", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 416, + 505, + 430 + ], + "score": 1.0, + "content": "(6)) will be", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 428, + 441, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 441, + 441 + ], + "score": 1.0, + "content": "equivalent to the feature importances output by LIME or KernelSHAP, respectively.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 450, + 505, + 497 + ], + "lines": [ + { + "bbox": [ + 106, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "Feature Importance Uncertainty To obtain the local feature importances and their associated", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 429, + 476 + ], + "score": 1.0, + "content": "uncertainty, we first compute the posterior mean of the local feature importances", + "type": "text" + }, + { + "bbox": [ + 430, + 462, + 437, + 475 + ], + "score": 0.86, + "content": "\\hat { \\phi }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 464, + 506, + 476 + ], + "score": 1.0, + "content": "using the closed", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "form expression in Eqn. 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(7) into the Student’s t distribution above (Eqn. (8)).", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 506, + 621 + ], + "score": 1.0, + "content": "The resulting expression gives us the probability density that the explanation output by our framework", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "score": 1.0, + "content": "perfectly captures the local decision surface underlying the black box. This operation is performed in", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 630, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 505, + 642 + ], + "score": 1.0, + "content": "constant time, adding minimal overhead to non-Bayesian LIME and SHAP. 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(7) into the Student’s t distribution above (Eqn. (8)).", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 506, + 621 + ], + "score": 1.0, + "content": "The resulting expression gives us the probability density that the explanation output by our framework", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 505, + 631 + ], + "score": 1.0, + "content": "perfectly captures the local decision surface underlying the black box. This operation is performed in", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 630, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 505, + 642 + ], + "score": 1.0, + "content": "constant time, adding minimal overhead to non-Bayesian LIME and SHAP. 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As the number of perturbations around", + "type": "text" + }, + { + "bbox": [ + 333, + 657, + 340, + 664 + ], + "score": 0.54, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 653, + 371, + 667 + ], + "score": 1.0, + "content": "goes to", + "type": "text" + }, + { + "bbox": [ + 372, + 656, + 383, + 664 + ], + "score": 0.66, + "content": "\\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 653, + 401, + 667 + ], + "score": 1.0, + "content": "i.e.,", + "type": "text" + }, + { + "bbox": [ + 401, + 655, + 437, + 665 + ], + "score": 0.86, + "content": "N \\to \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 653, + 442, + 667 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 442, + 655, + 454, + 666 + ], + "score": 0.58, + "content": "( l )", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 653, + 505, + 667 + ], + "score": 1.0, + "content": "the estimate", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 117, + 678 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 666, + 124, + 677 + ], + "score": 0.79, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "converges to the true feature importance scores, and its uncertainty to 0. (2) uncertainty of the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 676, + 453, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 343, + 690 + ], + "score": 1.0, + "content": "error term \u000f converges to the bias of the local linear model", + "type": "text" + }, + { + "bbox": [ + 344, + 677, + 350, + 688 + ], + "score": 0.72, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 676, + 453, + 690 + ], + "score": 1.0, + "content": ". [Details in Appendix B]", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46, + "bbox_fs": [ + 105, + 653, + 505, + 690 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 699, + 504, + 723 + ], + "lines": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "BayesLIME and BayesSHAP Our framework can be instantiated to obtain the Bayesian version of", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 710, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 272, + 723 + ], + "score": 1.0, + "content": "LIME by setting the proximity function to", + "type": "text" + }, + { + "bbox": [ + 272, + 710, + 390, + 723 + ], + "score": 0.91, + "content": "\\pi _ { x } ( z ) = \\exp ( - D ( x , z ) ^ { 2 } / \\sigma ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 710, + 417, + 723 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 418, + 711, + 428, + 721 + ], + "score": 0.83, + "content": "D", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 710, + 506, + 723 + ], + "score": 1.0, + "content": "is a distance metric", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 48.5, + "bbox_fs": [ + 105, + 700, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 72, + 505, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 506, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 166, + 86 + ], + "score": 1.0, + "content": "(e.g. cosine or", + "type": "text" + }, + { + "bbox": [ + 166, + 73, + 175, + 84 + ], + "score": 0.86, + "content": "l _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 72, + 234, + 86 + ], + "score": 1.0, + "content": "distance), and", + "type": "text" + }, + { + "bbox": [ + 235, + 74, + 246, + 84 + ], + "score": 0.85, + "content": "n _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 72, + 264, + 86 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 265, + 73, + 276, + 85 + ], + "score": 0.9, + "content": "\\sigma _ { 0 } ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 72, + 340, + 86 + ], + "score": 1.0, + "content": "to small values", + "type": "text" + }, + { + "bbox": [ + 340, + 72, + 368, + 84 + ], + "score": 0.86, + "content": "( 1 0 ^ { - 6 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 72, + 506, + 86 + ], + "score": 1.0, + "content": "so that the prior is uninformative.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 82, + 501, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 501, + 97 + ], + "score": 1.0, + "content": "We compute feature importance uncertainty and error uncertainty for LIME’s feature importances.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 100, + 505, + 191 + ], + "lines": [ + { + "bbox": [ + 106, + 100, + 505, + 113 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 113 + ], + "score": 1.0, + "content": "Our framework can also be instantiated to obtain the Bayesian version of KernelSHAP by setting", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 507, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 202, + 126 + ], + "score": 1.0, + "content": "uninformative prior on", + "type": "text" + }, + { + "bbox": [ + 203, + 111, + 214, + 122 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 110, + 234, + 126 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 270, + 110, + 507, + 128 + ], + "score": 1.0, + "content": "d−1(d choose |z|)|z|(d−|z|) where |z| denotes the number of the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 125, + 505, + 137 + ], + "spans": [ + { + "bbox": [ + 106, + 125, + 380, + 137 + ], + "score": 1.0, + "content": "variables in the variable combination represented by the data point", + "type": "text" + }, + { + "bbox": [ + 381, + 127, + 387, + 135 + ], + "score": 0.77, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 125, + 505, + 137 + ], + "score": 1.0, + "content": "i.e., the number of non-zero", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 136, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 106, + 136, + 298, + 148 + ], + "score": 1.0, + "content": "valued features in the vector representation of", + "type": "text" + }, + { + "bbox": [ + 298, + 138, + 304, + 146 + ], + "score": 0.76, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 136, + 505, + 148 + ], + "score": 1.0, + "content": ". 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Therefore, the measures of uncertainty output by our", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 180, + 437, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 437, + 192 + ], + "score": 1.0, + "content": "method BayesSHAP capture the reliability of the estimated variable contributions.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 196, + 506, + 229 + ], + "lines": [ + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 505, + 208 + ], + "score": 1.0, + "content": "To encourage BayesLIME and BayesSHAP explanations to be sparse, we can use dimensionality", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "reduction or feature selection techniques as used by LIME and SHAP to obtain the top K features [2,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 216, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 104, + 216, + 506, + 231 + ], + "score": 1.0, + "content": "4, 23]. We can then construct our explanations using the data corresponding to these top K features.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 107, + 241, + 303, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 241, + 304, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 304, + 255 + ], + "score": 1.0, + "content": "3.2 Estimating the Number of Perturbations", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 261, + 505, + 393 + ], + "lines": [ + { + "bbox": [ + 106, + 262, + 506, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 506, + 274 + ], + "score": 1.0, + "content": "One of the major drawbacks of approaches such as LIME and KernelSHAP is that they do not", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 273, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 505, + 285 + ], + "score": 1.0, + "content": "provide any guidance on how to choose the number of perturbations, a key factor in obtaining reliable", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 283, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 505, + 297 + ], + "score": 1.0, + "content": "explanations in an efficient manner. 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This estimate thus predicts", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 506, + 330 + ], + "score": 1.0, + "content": "the computational cost of generating an explanation with a desired level of certainty and can help", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "determine whether it is even worthwhile to do so. 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To reduce", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 505, + 138 + ], + "score": 1.0, + "content": "this cost, we develop an alternative sampling procedure called focused sampling which leverages", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 506, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 506, + 149 + ], + "score": 1.0, + "content": "uncertainty estimates to query the black box in a more targeted fashion (instead of querying randomly),", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 147, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 147, + 505, + 160 + ], + "score": 1.0, + "content": "thereby reducing the computational cost associated with generating reliable explanations. 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We draw a batch of", + "type": "text" + }, + { + "bbox": [ + 230, + 318, + 239, + 328 + ], + "score": 0.76, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 318, + 505, + 330 + ], + "score": 1.0, + "content": "candidate perturbations, compute their predictive variance with the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 329, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 505, + 342 + ], + "score": 1.0, + "content": "Bayesian explanation, and induce a distribution over the perturbations by running softmax on the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 260, + 352 + ], + "score": 1.0, + "content": "variances with tempurature parameter", + "type": "text" + }, + { + "bbox": [ + 260, + 342, + 267, + 350 + ], + "score": 0.75, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 340, + 352, + 352 + ], + "score": 1.0, + "content": ". We draw a batch of", + "type": "text" + }, + { + "bbox": [ + 352, + 340, + 361, + 350 + ], + "score": 0.81, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "perturbations from this distribution", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "score": 1.0, + "content": "and query the black box model for their labels. Finally, we refit the Bayesian explanation on all the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "score": 1.0, + "content": "labeled perturbations collected so far. We provide pseudocode for the uncertainty sampling procedure", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 372, + 171, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 171, + 385 + ], + "score": 1.0, + "content": "in Algorithm 1.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21.5 + }, + { + "type": "table", + "bbox": [ + 108, + 411, + 506, + 572 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 397, + 323, + 408 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 395, + 324, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 324, + 411 + ], + "score": 1.0, + "content": "Algorithm 1 Focused sampling for local explanations", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "table_body", + "bbox": [ + 108, + 411, + 506, + 572 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 411, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 108, + 411, + 506, + 572 + ], + "score": 0.664, + "html": "
Require: Model f,Data instance x, Number of perturbations N,Number of seed perturbations S,
Batch size B,Pool size A, tempurature T 1: function FOCUSED SAMPLE
Initialize Z with S seed perturbations.
2:
3:Fit on Z Using Eqn (6)
4:fori←1toN-Sinincrements ofBdo
5:Q ←Generate Acandidate perturbations Using Eqn (11)
6:Compute var(y(z)) on Q
7:Define Qdist as X exp(var(g(z))/τ)
8:Qnew ← Draw B samples from Qdist
9:Z ← ZU Qnew; Fit on Z Using Eqn (6)
10: end for
11: return $
12: end function
", + "type": "table", + "image_path": "2aaf3ed471491c6419c0b3b2d1fe53312178ed130d8e0cc93c1ffde5ad05dc98.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 108, + 411, + 506, + 464.6666666666667 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 108, + 464.6666666666667, + 506, + 518.3333333333334 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 108, + 518.3333333333334, + 506, + 572.0 + ], + "spans": [], + "index": 29 + } + ] + } + ], + "index": 27.0 + }, + { + "type": "title", + "bbox": [ + 107, + 599, + 191, + 613 + ], + "lines": [ + { + "bbox": [ + 104, + 597, + 193, + 616 + ], + "spans": [ + { + "bbox": [ + 104, + 597, + 193, + 616 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 624, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 624, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 637 + ], + "score": 1.0, + "content": "We evaluate the proposed framework by first analyzing the quality of our uncertainty estimates", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "score": 1.0, + "content": "i.e., feature importance uncertainty and error uncertainty. We also assess our estimates of required", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 647, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 160, + 659 + ], + "score": 1.0, + "content": "perturbations", + "type": "text" + }, + { + "bbox": [ + 161, + 647, + 176, + 657 + ], + "score": 0.73, + "content": "( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 647, + 506, + 659 + ], + "score": 1.0, + "content": ", and evaluate the computational efficiency of focused sampling. Last, we describe a", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 658, + 507, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 507, + 670 + ], + "score": 1.0, + "content": "user study with 31 subjects to assess the informativeness of the explanations output by our framework.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 507, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 507, + 692 + ], + "score": 1.0, + "content": "Setup We experiment with a variety of real world datasets spanning multiple applications (e.g.,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 689, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 507, + 702 + ], + "score": 1.0, + "content": "criminal justice, credit scoring) as well as modalities (e.g., structured data, images). Our first struc-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "tured dataset is COMPAS [27], containing criminal history, jail and prison time, and demographic", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 711, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 722 + ], + "score": 1.0, + "content": "attributes of 6172 defendants, with class labels that represent whether each defendant was rearrested", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 72, + 280, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 281, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 281, + 86 + ], + "score": 1.0, + "content": "3.3 Focused Sampling of Perturbations", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 92, + 505, + 203 + ], + "lines": [ + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 187, + 105 + ], + "score": 1.0, + "content": "Perturbations-to-go", + "type": "text" + }, + { + "bbox": [ + 188, + 93, + 203, + 104 + ], + "score": 0.71, + "content": "( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 93, + 505, + 105 + ], + "score": 1.0, + "content": "provides us with an estimate of how many samples are required to achieve", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 103, + 506, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 103, + 245, + 116 + ], + "score": 1.0, + "content": "reliable explanations. However, if", + "type": "text" + }, + { + "bbox": [ + 245, + 104, + 254, + 114 + ], + "score": 0.84, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 103, + 506, + 116 + ], + "score": 1.0, + "content": "is large, querying the black-box model for its predictions on a", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 506, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 506, + 127 + ], + "score": 1.0, + "content": "large number of perturbations can be computationally expensive for larger models [24, 25]. To reduce", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 505, + 138 + ], + "score": 1.0, + "content": "this cost, we develop an alternative sampling procedure called focused sampling which leverages", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 506, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 506, + 149 + ], + "score": 1.0, + "content": "uncertainty estimates to query the black box in a more targeted fashion (instead of querying randomly),", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 147, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 147, + 505, + 160 + ], + "score": 1.0, + "content": "thereby reducing the computational cost associated with generating reliable explanations. Inspired by", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 158, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 106, + 158, + 506, + 171 + ], + "score": 1.0, + "content": "active learning [26], focused sampling strategically prioritizes perturbations whose predictions the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 168, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 506, + 183 + ], + "score": 1.0, + "content": "explanation is most uncertain about, when querying the black box. This enables the focused sampling", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 180, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 506, + 192 + ], + "score": 1.0, + "content": "procedure to query the black box only for the predictions of the most informative perturbations and", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 191, + 416, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 416, + 204 + ], + "score": 1.0, + "content": "thereby learn an accurate explanation with far fewer queries to the black box.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 93, + 506, + 204 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 207, + 505, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 206, + 506, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 206, + 289, + 220 + ], + "score": 1.0, + "content": "To determine how uncertain our explanation", + "type": "text" + }, + { + "bbox": [ + 289, + 208, + 297, + 219 + ], + "score": 0.86, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 206, + 506, + 220 + ], + "score": 1.0, + "content": "is about the black box label for any given instance", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 107, + 218, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 107, + 221, + 113, + 228 + ], + "score": 0.64, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 218, + 353, + 231 + ], + "score": 1.0, + "content": ", we first compute the posterior predictive distribution for", + "type": "text" + }, + { + "bbox": [ + 353, + 220, + 361, + 228 + ], + "score": 0.76, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 218, + 506, + 231 + ], + "score": 1.0, + "content": "(derivation in Appendix A), given", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 229, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 104, + 230, + 117, + 244 + ], + "score": 1.0, + "content": "as", + "type": "text" + }, + { + "bbox": [ + 118, + 229, + 298, + 244 + ], + "score": 0.91, + "content": "\\boldsymbol { \\hat { y } } ( z ) | \\mathcal { Z } , \\boldsymbol { Y } \\sim t _ { ( \\mathcal { V } = N ) } ( \\boldsymbol { \\hat { \\phi } } ^ { T } \\boldsymbol { z } , ( \\boldsymbol { z } ^ { T } V _ { \\phi } \\boldsymbol { z } + 1 ) \\boldsymbol { s } ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 230, + 506, + 244 + ], + "score": 1.0, + "content": ". The variance of this three parameter student’s t", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 241, + 167, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 167, + 254 + ], + "score": 1.0, + "content": "distribution is,", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 104, + 206, + 506, + 254 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 251, + 396, + 266 + ], + "lines": [ + { + "bbox": [ + 215, + 251, + 396, + 266 + ], + "spans": [ + { + "bbox": [ + 215, + 251, + 396, + 266 + ], + "score": 0.92, + "content": "\\mathrm { v a r } ( \\hat { y } ( z ) ) = ( ( z ^ { T } V _ { \\phi } z + 1 ) s ^ { 2 } ) ( N / ( N - 2 ) )", + "type": "interline_equation", + "image_path": "924ee084bc57d7be88147e6536f4ee59feef084ad947ea7a4fcf28f3831f4841.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 215, + 251, + 396, + 266 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 269, + 503, + 291 + ], + "lines": [ + { + "bbox": [ + 105, + 267, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 320, + 282 + ], + "score": 1.0, + "content": "We refer to this variance as the predictive variance", + "type": "text" + }, + { + "bbox": [ + 320, + 269, + 360, + 281 + ], + "score": 0.73, + "content": "\\mathrm { v a r } ( \\hat { y } ( z ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 267, + 505, + 282 + ], + "score": 1.0, + "content": ", and it captures how uncertain our", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 299, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 155, + 292 + ], + "score": 1.0, + "content": "explanation", + "type": "text" + }, + { + "bbox": [ + 155, + 280, + 163, + 291 + ], + "score": 0.84, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 280, + 299, + 292 + ], + "score": 1.0, + "content": "is about the black box prediction.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 267, + 505, + 292 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 295, + 505, + 384 + ], + "lines": [ + { + "bbox": [ + 105, + 295, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 385, + 309 + ], + "score": 1.0, + "content": "The focus sampling procedure first fits the explanation with an initial", + "type": "text" + }, + { + "bbox": [ + 385, + 297, + 393, + 306 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 295, + 479, + 309 + ], + "score": 1.0, + "content": "perturbations (where", + "type": "text" + }, + { + "bbox": [ + 480, + 297, + 488, + 306 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 295, + 506, + 309 + ], + "score": 1.0, + "content": "is a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 307, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 505, + 320 + ], + "score": 1.0, + "content": "small number). We then iterate the following procedure until the desired explanation certainty level", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 318, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 230, + 330 + ], + "score": 1.0, + "content": "is reached. We draw a batch of", + "type": "text" + }, + { + "bbox": [ + 230, + 318, + 239, + 328 + ], + "score": 0.76, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 318, + 505, + 330 + ], + "score": 1.0, + "content": "candidate perturbations, compute their predictive variance with the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 329, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 505, + 342 + ], + "score": 1.0, + "content": "Bayesian explanation, and induce a distribution over the perturbations by running softmax on the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 260, + 352 + ], + "score": 1.0, + "content": "variances with tempurature parameter", + "type": "text" + }, + { + "bbox": [ + 260, + 342, + 267, + 350 + ], + "score": 0.75, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 340, + 352, + 352 + ], + "score": 1.0, + "content": ". We draw a batch of", + "type": "text" + }, + { + "bbox": [ + 352, + 340, + 361, + 350 + ], + "score": 0.81, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "perturbations from this distribution", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "score": 1.0, + "content": "and query the black box model for their labels. Finally, we refit the Bayesian explanation on all the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "score": 1.0, + "content": "labeled perturbations collected so far. We provide pseudocode for the uncertainty sampling procedure", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 372, + 171, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 171, + 385 + ], + "score": 1.0, + "content": "in Algorithm 1.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 295, + 506, + 385 + ] + }, + { + "type": "table", + "bbox": [ + 108, + 411, + 506, + 572 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 397, + 323, + 408 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 395, + 324, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 324, + 411 + ], + "score": 1.0, + "content": "Algorithm 1 Focused sampling for local explanations", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "table_body", + "bbox": [ + 108, + 411, + 506, + 572 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 411, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 108, + 411, + 506, + 572 + ], + "score": 0.664, + "html": "
Require: Model f,Data instance x, Number of perturbations N,Number of seed perturbations S,
Batch size B,Pool size A, tempurature T 1: function FOCUSED SAMPLE
Initialize Z with S seed perturbations.
2:
3:Fit on Z Using Eqn (6)
4:fori←1toN-Sinincrements ofBdo
5:Q ←Generate Acandidate perturbations Using Eqn (11)
6:Compute var(y(z)) on Q
7:Define Qdist as X exp(var(g(z))/τ)
8:Qnew ← Draw B samples from Qdist
9:Z ← ZU Qnew; Fit on Z Using Eqn (6)
10: end for
11: return $
12: end function
", + "type": "table", + "image_path": "2aaf3ed471491c6419c0b3b2d1fe53312178ed130d8e0cc93c1ffde5ad05dc98.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 108, + 411, + 506, + 464.6666666666667 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 108, + 464.6666666666667, + 506, + 518.3333333333334 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 108, + 518.3333333333334, + 506, + 572.0 + ], + "spans": [], + "index": 29 + } + ] + } + ], + "index": 27.0 + }, + { + "type": "title", + "bbox": [ + 107, + 599, + 191, + 613 + ], + "lines": [ + { + "bbox": [ + 104, + 597, + 193, + 616 + ], + "spans": [ + { + "bbox": [ + 104, + 597, + 193, + 616 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 624, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 624, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 637 + ], + "score": 1.0, + "content": "We evaluate the proposed framework by first analyzing the quality of our uncertainty estimates", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "score": 1.0, + "content": "i.e., feature importance uncertainty and error uncertainty. We also assess our estimates of required", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 647, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 160, + 659 + ], + "score": 1.0, + "content": "perturbations", + "type": "text" + }, + { + "bbox": [ + 161, + 647, + 176, + 657 + ], + "score": 0.73, + "content": "( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 647, + 506, + 659 + ], + "score": 1.0, + "content": ", and evaluate the computational efficiency of focused sampling. Last, we describe a", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 658, + 507, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 507, + 670 + ], + "score": 1.0, + "content": "user study with 31 subjects to assess the informativeness of the explanations output by our framework.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 624, + 507, + 670 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 507, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 507, + 692 + ], + "score": 1.0, + "content": "Setup We experiment with a variety of real world datasets spanning multiple applications (e.g.,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 689, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 507, + 702 + ], + "score": 1.0, + "content": "criminal justice, credit scoring) as well as modalities (e.g., structured data, images). 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We select", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 104, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "a sample of 100 images of the following classes French Bulldog, Scuba Diver, Corn, and Broccoli", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "to use in the experiments. For generating explanations, we use standard implementations of the", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "score": 1.0, + "content": "baselines LIME and KernelSHAP with default settings [2, 4]. For images, we construct super pixels", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "score": 1.0, + "content": "as described in [2] and use them as features (number of super pixels is fixed to 20 per image). 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BayesLIMEBayesSHAPBayesLIMEBayesSHAP
TABULAR DATASETSMNIST
COMPAS95.587.9Digit 195.898.4
German Credit96.989.6Digit 295.897.4
IMAGENETDigit 395.296.3
Corn94.691.8Digit 497.290.1
Broccoli91.489.2Digit 595.295.6
French Bulldog94.889.9Digit 696.796.8
Scuba Diver92.494.6Digit 795.795.3
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We report the", + "type": "text" + }, + { + "bbox": [ + 333, + 183, + 342, + 193 + ], + "score": 0.79, + "content": "\\%", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 182, + 390, + 195 + ], + "score": 1.0, + "content": "of time the", + "type": "text" + }, + { + "bbox": [ + 390, + 183, + 411, + 193 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 182, + 505, + 195 + ], + "score": 1.0, + "content": "credible intervals with", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "100 perturbations include their true values (estimated on 10, 000 perturbations). Closer to 95.0 is", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 204, + 355, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 355, + 216 + ], + "score": 1.0, + "content": "better. Both BayesLIME and BayesSHAP are well calibrated.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 249, + 505, + 391 + ], + "lines": [ + { + "bbox": [ + 106, + 250, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 505, + 261 + ], + "score": 1.0, + "content": "within 2 years of release. The second structured dataset is the German Credit dataset from the UCI", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 260, + 507, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 507, + 273 + ], + "score": 1.0, + "content": "repository [28] containing financial and demographic information (including account information,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "score": 1.0, + "content": "credit history, employment, gender) for 1000 loan applications, each labeled as a “good” or “bad”", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 282, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 506, + 294 + ], + "score": 1.0, + "content": "customer. We create 80/20 train/test splits for these two datasets, and train a random forest classifier", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 292, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 477, + 305 + ], + "score": 1.0, + "content": "(sklearn implementation with 100 estimators) as black box models for each (test accuracy of", + "type": "text" + }, + { + "bbox": [ + 477, + 293, + 505, + 304 + ], + "score": 0.87, + "content": "8 2 . 8 \\%", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 303, + 506, + 316 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 123, + 316 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 304, + 151, + 315 + ], + "score": 0.88, + "content": "7 2 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 303, + 506, + 316 + ], + "score": 1.0, + "content": ", respectively). We also include popular image datasets–MNIST and Imagenet. For the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 313, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 506, + 327 + ], + "score": 1.0, + "content": "MNIST [29] handwritten digits dataset, we train a 2-layer CNN to predict the digits (test accuracy of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 325, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 135, + 337 + ], + "score": 0.86, + "content": "9 9 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 325, + 506, + 338 + ], + "score": 1.0, + "content": "). For Imagenet [30], we use the off-the-shelf VGG16 model [31] as the black box. We select", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 104, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "a sample of 100 images of the following classes French Bulldog, Scuba Diver, Corn, and Broccoli", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "to use in the experiments. For generating explanations, we use standard implementations of the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "score": 1.0, + "content": "baselines LIME and KernelSHAP with default settings [2, 4]. For images, we construct super pixels", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 506, + 382 + ], + "score": 1.0, + "content": "as described in [2] and use them as features (number of super pixels is fixed to 20 per image). For our", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 379, + 488, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 397, + 393 + ], + "score": 1.0, + "content": "framework, the desired level of certainty is expressed as the width of the", + "type": "text" + }, + { + "bbox": [ + 397, + 380, + 417, + 390 + ], + "score": 0.87, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 379, + 488, + 393 + ], + "score": 1.0, + "content": "credible interval.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 401, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "Quality of Uncertainty Estimates A critical component of our explanations is the feature impor-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "score": 1.0, + "content": "tance uncertainty. To evaluate the correctness of these estimates, we compute how often true feature", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 421, + 507, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 213, + 436 + ], + "score": 1.0, + "content": "importances lie within the", + "type": "text" + }, + { + "bbox": [ + 213, + 423, + 233, + 434 + ], + "score": 0.88, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 421, + 507, + 436 + ], + "score": 1.0, + "content": "credible intervals estimated by BayesLIME and BayesSHAP. Note,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "that by true feature importance, we refer to the best fit linear model output using either the LIME or", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "SHAP kernels. We evaluate the quality of our credible interval estimates by running our methods", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 455, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 449, + 469 + ], + "score": 1.0, + "content": "with 100 perturbations to estimate feature importances and taking the corresponding", + "type": "text" + }, + { + "bbox": [ + 449, + 455, + 469, + 466 + ], + "score": 0.87, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 455, + 506, + 469 + ], + "score": 1.0, + "content": "credible", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "intervals for each test instance. We compute what fraction of the true feature importances fall within", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 477, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 123, + 490 + ], + "score": 1.0, + "content": "our", + "type": "text" + }, + { + "bbox": [ + 123, + 478, + 143, + 488 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 477, + 505, + 490 + ], + "score": 1.0, + "content": "credible intervals. Note, because there are no methods to provide uncertainty estimates", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "for LIME and SHAP, we do not provide further baselines. Since we do not have access to the true", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 499, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 505, + 511 + ], + "score": 1.0, + "content": "feature importances of the complex black box models, following Prop 3.2, we use feature importances", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 236, + 523 + ], + "score": 1.0, + "content": "computed using a large value of", + "type": "text" + }, + { + "bbox": [ + 236, + 510, + 247, + 520 + ], + "score": 0.65, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 510, + 306, + 522 + ], + "score": 0.8, + "content": "( N = 1 0 , 0 0 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 510, + 505, + 523 + ], + "score": 1.0, + "content": ", and treat the resulting estimates as ground truth.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 526, + 505, + 626 + ], + "lines": [ + { + "bbox": [ + 106, + 526, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 505, + 538 + ], + "score": 1.0, + "content": "Results for BayesLIME in Table 1 indicate that the true feature importances are close to ideal and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 536, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 550 + ], + "score": 1.0, + "content": "indicate the estimates are well calibrated. While the estimates by BayesSHAP are somewhat less", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 549, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 355, + 560 + ], + "score": 1.0, + "content": "calibrated (true feature importances fall within our estimated", + "type": "text" + }, + { + "bbox": [ + 356, + 549, + 376, + 559 + ], + "score": 0.87, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 549, + 505, + 560 + ], + "score": 1.0, + "content": "credible intervals about 89.2 to", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 133, + 570 + ], + "score": 0.87, + "content": "9 8 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 559, + 505, + 571 + ], + "score": 1.0, + "content": "of the time), they still are quite close to ideal. All in all, these results confirm that the credible", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "intervals learned by our methods are well calibrated and therefore highly reliable in capturing the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "uncertainty of the feature importances. Lastly, though we set our priors to be uninformative in general,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "score": 1.0, + "content": "we also investigate how sensitive our uncertainty estimates are to hyperparameter choices in Figure 5", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "score": 1.0, + "content": "in the Appendix. We find that the explanation uncertainty becomes uncalibrated with strong priors.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 614, + 439, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 439, + 626 + ], + "score": 1.0, + "content": "However, our explanations seem to be robust to hyperparameter choices in general.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "Correctness of Estimated Number of Perturbations We assess whether our estimate of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 645, + 507, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 193, + 658 + ], + "score": 1.0, + "content": "perturbations-to-go", + "type": "text" + }, + { + "bbox": [ + 194, + 646, + 203, + 655 + ], + "score": 0.65, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 645, + 507, + 658 + ], + "score": 1.0, + "content": "; Section 3.2) is an accurate estimate of the additional number of pertur-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "bations needed to reach a desired level of feature importance certainty. We carry out this experiment", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 223, + 679 + ], + "score": 1.0, + "content": "on MNIST data for the digit", + "type": "text" + }, + { + "bbox": [ + 223, + 668, + 239, + 678 + ], + "score": 0.3, + "content": "\" 4 > \"", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 667, + 456, + 679 + ], + "score": 1.0, + "content": "(additional datasets explored in Appendix C) and use", + "type": "text" + }, + { + "bbox": [ + 456, + 667, + 493, + 678 + ], + "score": 0.9, + "content": "S = 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "the initial number of perturbations to obtain a preliminary explanation and its associated uncertainty", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 332, + 701 + ], + "score": 1.0, + "content": "estimates. We then leverage these estimates to compute", + "type": "text" + }, + { + "bbox": [ + 333, + 691, + 341, + 699 + ], + "score": 0.87, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "for 6 different certainty levels. 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BayesLIMEBayesSHAPBayesLIMEBayesSHAP
TABULAR DATASETSMNIST
COMPAS95.587.9Digit 195.898.4
German Credit96.989.6Digit 295.897.4
IMAGENETDigit 395.296.3
Corn94.691.8Digit 497.290.1
Broccoli91.489.2Digit 595.295.6
French Bulldog94.889.9Digit 696.796.8
Scuba Diver92.494.6Digit 795.795.3
", + "type": "table", + "image_path": "2efd1dd6a443caac7d848e203e6d424ec21eceafae245c5245181b231f109fe5.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 115, + 70, + 492, + 107.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 115, + 107.0, + 492, + 144.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 115, + 144.0, + 492, + 181.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 109, + 182, + 504, + 216 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 182, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 332, + 195 + ], + "score": 1.0, + "content": "Table 1: Evaluating Credible Intervals. We report the", + "type": "text" + }, + { + "bbox": [ + 333, + 183, + 342, + 193 + ], + "score": 0.79, + "content": "\\%", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 182, + 390, + 195 + ], + "score": 1.0, + "content": "of time the", + "type": "text" + }, + { + "bbox": [ + 390, + 183, + 411, + 193 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 182, + 505, + 195 + ], + "score": 1.0, + "content": "credible intervals with", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "100 perturbations include their true values (estimated on 10, 000 perturbations). Closer to 95.0 is", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 204, + 355, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 355, + 216 + ], + "score": 1.0, + "content": "better. Both BayesLIME and BayesSHAP are well calibrated.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 249, + 505, + 391 + ], + "lines": [], + "index": 12, + "bbox_fs": [ + 104, + 250, + 507, + 393 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 401, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "Quality of Uncertainty Estimates A critical component of our explanations is the feature impor-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "score": 1.0, + "content": "tance uncertainty. To evaluate the correctness of these estimates, we compute how often true feature", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 421, + 507, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 213, + 436 + ], + "score": 1.0, + "content": "importances lie within the", + "type": "text" + }, + { + "bbox": [ + 213, + 423, + 233, + 434 + ], + "score": 0.88, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 421, + 507, + 436 + ], + "score": 1.0, + "content": "credible intervals estimated by BayesLIME and BayesSHAP. Note,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 505, + 446 + ], + "score": 1.0, + "content": "that by true feature importance, we refer to the best fit linear model output using either the LIME or", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "SHAP kernels. We evaluate the quality of our credible interval estimates by running our methods", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 455, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 449, + 469 + ], + "score": 1.0, + "content": "with 100 perturbations to estimate feature importances and taking the corresponding", + "type": "text" + }, + { + "bbox": [ + 449, + 455, + 469, + 466 + ], + "score": 0.87, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 455, + 506, + 469 + ], + "score": 1.0, + "content": "credible", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "intervals for each test instance. We compute what fraction of the true feature importances fall within", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 477, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 123, + 490 + ], + "score": 1.0, + "content": "our", + "type": "text" + }, + { + "bbox": [ + 123, + 478, + 143, + 488 + ], + "score": 0.86, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 477, + 505, + 490 + ], + "score": 1.0, + "content": "credible intervals. Note, because there are no methods to provide uncertainty estimates", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "for LIME and SHAP, we do not provide further baselines. Since we do not have access to the true", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 499, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 505, + 511 + ], + "score": 1.0, + "content": "feature importances of the complex black box models, following Prop 3.2, we use feature importances", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 236, + 523 + ], + "score": 1.0, + "content": "computed using a large value of", + "type": "text" + }, + { + "bbox": [ + 236, + 510, + 247, + 520 + ], + "score": 0.65, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 510, + 306, + 522 + ], + "score": 0.8, + "content": "( N = 1 0 , 0 0 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 510, + 505, + 523 + ], + "score": 1.0, + "content": ", and treat the resulting estimates as ground truth.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 401, + 507, + 523 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 526, + 505, + 626 + ], + "lines": [ + { + "bbox": [ + 106, + 526, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 505, + 538 + ], + "score": 1.0, + "content": "Results for BayesLIME in Table 1 indicate that the true feature importances are close to ideal and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 536, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 550 + ], + "score": 1.0, + "content": "indicate the estimates are well calibrated. While the estimates by BayesSHAP are somewhat less", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 549, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 355, + 560 + ], + "score": 1.0, + "content": "calibrated (true feature importances fall within our estimated", + "type": "text" + }, + { + "bbox": [ + 356, + 549, + 376, + 559 + ], + "score": 0.87, + "content": "9 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 549, + 505, + 560 + ], + "score": 1.0, + "content": "credible intervals about 89.2 to", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 133, + 570 + ], + "score": 0.87, + "content": "9 8 . 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 559, + 505, + 571 + ], + "score": 1.0, + "content": "of the time), they still are quite close to ideal. All in all, these results confirm that the credible", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "intervals learned by our methods are well calibrated and therefore highly reliable in capturing the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "uncertainty of the feature importances. Lastly, though we set our priors to be uninformative in general,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 605 + ], + "score": 1.0, + "content": "we also investigate how sensitive our uncertainty estimates are to hyperparameter choices in Figure 5", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 616 + ], + "score": 1.0, + "content": "in the Appendix. We find that the explanation uncertainty becomes uncalibrated with strong priors.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 614, + 439, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 439, + 626 + ], + "score": 1.0, + "content": "However, our explanations seem to be robust to hyperparameter choices in general.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 526, + 506, + 626 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "Correctness of Estimated Number of Perturbations We assess whether our estimate of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 645, + 507, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 193, + 658 + ], + "score": 1.0, + "content": "perturbations-to-go", + "type": "text" + }, + { + "bbox": [ + 194, + 646, + 203, + 655 + ], + "score": 0.65, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 645, + 507, + 658 + ], + "score": 1.0, + "content": "; Section 3.2) is an accurate estimate of the additional number of pertur-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "bations needed to reach a desired level of feature importance certainty. We carry out this experiment", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 223, + 679 + ], + "score": 1.0, + "content": "on MNIST data for the digit", + "type": "text" + }, + { + "bbox": [ + 223, + 668, + 239, + 678 + ], + "score": 0.3, + "content": "\" 4 > \"", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 667, + 456, + 679 + ], + "score": 1.0, + "content": "(additional datasets explored in Appendix C) and use", + "type": "text" + }, + { + "bbox": [ + 456, + 667, + 493, + 678 + ], + "score": 0.9, + "content": "S = 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "the initial number of perturbations to obtain a preliminary explanation and its associated uncertainty", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 332, + 701 + ], + "score": 1.0, + "content": "estimates. We then leverage these estimates to compute", + "type": "text" + }, + { + "bbox": [ + 333, + 691, + 341, + 699 + ], + "score": 0.87, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "for 6 different certainty levels. First, we", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 243, + 712 + ], + "score": 1.0, + "content": "observe significant differences in", + "type": "text" + }, + { + "bbox": [ + 243, + 700, + 252, + 710 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "estimates across instances (details in appendix C) i.e. number", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "of perturbations needed to obtain a particular level of certainty varied significantly across instances–", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 300, + 507, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 507, + 314 + ], + "score": 1.0, + "content": "ranging from 200-5, 000 for the lowest level of certainty to 200-20, 000 for higher levels of certainty.", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "Next, for each image and certainty level, we run our method for the estimated number of perturbations", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 323, + 504, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 122, + 334 + ], + "score": 0.73, + "content": "( G )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 122, + 323, + 462, + 334 + ], + "score": 1.0, + "content": "to determine if the observed estimates of uncertainty (observed credible interval width", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 462, + 323, + 474, + 333 + ], + "score": 0.64, + "content": "W", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 474, + 323, + 504, + 334 + ], + "score": 1.0, + "content": ") match", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 365, + 345 + ], + "score": 1.0, + "content": "the desired levels of uncertainty (desired credible interval width", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 365, + 334, + 378, + 344 + ], + "score": 0.62, + "content": "W", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 378, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "). Results in Figure 2 show that", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 440, + 357 + ], + "score": 1.0, + "content": "the observed and desired levels of certainty are well calibrated, demonstrating that", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 440, + 345, + 449, + 354 + ], + "score": 0.79, + "content": "G", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 450, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "estimates are", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 355, + 402, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 402, + 366 + ], + "score": 1.0, + "content": "reliable approximations of the additional number of perturbations needed.", + "type": "text", + "cross_page": true + } + ], + "index": 13 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 633, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 120, + 78, + 490, + 210 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 120, + 78, + 490, + 210 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 120, + 78, + 490, + 210 + ], + "spans": [ + { + "bbox": [ + 120, + 78, + 490, + 210 + ], + "score": 0.971, + "type": "image", + "image_path": "a1ce895bb1fbdbf243ad90abc4bbd6376035f01308ad9e7c0365cb10fc50cc0d.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 120, + 78, + 490, + 122.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 120, + 122.0, + 490, + 166.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 120, + 166.0, + 490, + 210.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 223, + 505, + 279 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 224, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 236, + 236 + ], + "score": 1.0, + "content": "Figure 2: Perturbations-to-go", + "type": "text" + }, + { + "bbox": [ + 237, + 224, + 252, + 235 + ], + "score": 0.67, + "content": "( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 224, + 385, + 236 + ], + "score": 1.0, + "content": ". We generate explanation with", + "type": "text" + }, + { + "bbox": [ + 385, + 224, + 395, + 234 + ], + "score": 0.78, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 224, + 484, + 236 + ], + "score": 1.0, + "content": "perturbations, where", + "type": "text" + }, + { + "bbox": [ + 484, + 224, + 494, + 234 + ], + "score": 0.8, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 224, + 505, + 236 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 326, + 246 + ], + "score": 1.0, + "content": "computed using the desired credible interval width", + "type": "text" + }, + { + "bbox": [ + 327, + 236, + 333, + 245 + ], + "score": 0.53, + "content": "\\mathbf { \\bar { X } }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "-axis), and compare desired levels to the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 505, + 258 + ], + "score": 1.0, + "content": "observed credible interval width (y-axis) (blue line indicates ideal calibration). Results are averaged", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 256, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 263, + 270 + ], + "score": 1.0, + "content": "over 100 MNIST images of the digit", + "type": "text" + }, + { + "bbox": [ + 264, + 257, + 280, + 267 + ], + "score": 0.35, + "content": "\" 4 > \"", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 256, + 333, + 270 + ], + "score": 1.0, + "content": "We see that", + "type": "text" + }, + { + "bbox": [ + 334, + 257, + 343, + 267 + ], + "score": 0.78, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 256, + 505, + 270 + ], + "score": 1.0, + "content": "provides a good approximation of the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 267, + 237, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 237, + 279 + ], + "score": 1.0, + "content": "additional perturbations needed.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 300, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 105, + 300, + 507, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 507, + 314 + ], + "score": 1.0, + "content": "ranging from 200-5, 000 for the lowest level of certainty to 200-20, 000 for higher levels of certainty.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "Next, for each image and certainty level, we run our method for the estimated number of perturbations", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 323, + 504, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 122, + 334 + ], + "score": 0.73, + "content": "( G )", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 323, + 462, + 334 + ], + "score": 1.0, + "content": "to determine if the observed estimates of uncertainty (observed credible interval width", + "type": "text" + }, + { + "bbox": [ + 462, + 323, + 474, + 333 + ], + "score": 0.64, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 323, + 504, + 334 + ], + "score": 1.0, + "content": ") match", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 365, + 345 + ], + "score": 1.0, + "content": "the desired levels of uncertainty (desired credible interval width", + "type": "text" + }, + { + "bbox": [ + 365, + 334, + 378, + 344 + ], + "score": 0.62, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "). Results in Figure 2 show that", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 440, + 357 + ], + "score": 1.0, + "content": "the observed and desired levels of certainty are well calibrated, demonstrating that", + "type": "text" + }, + { + "bbox": [ + 440, + 345, + 449, + 354 + ], + "score": 0.79, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "estimates are", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 355, + 402, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 402, + 366 + ], + "score": 1.0, + "content": "reliable approximations of the additional number of perturbations needed.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 106, + 376, + 505, + 573 + ], + "lines": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "score": 1.0, + "content": "Efficiency of Focused Sampling Focused sampling uses the predictive variance to strategically", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "score": 1.0, + "content": "choose perturbations that will reduce uncertainty in order to be labeled by the black box (section 3.3).", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "score": 1.0, + "content": "Here, we will evaluate the efficiency of the focused sampling procedure. First, we assess whether", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 408, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 409, + 368, + 421 + ], + "score": 1.0, + "content": "focused sampling converges (as measured by error uncertainty", + "type": "text" + }, + { + "bbox": [ + 368, + 408, + 413, + 421 + ], + "score": 0.85, + "content": "P ( \\epsilon = 0 ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 409, + 505, + 421 + ], + "score": 1.0, + "content": ") more efficiently than", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 419, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 104, + 419, + 506, + 432 + ], + "score": 1.0, + "content": "random sampling. To this end, we experiment with BayesLIME on Imagenet data for the “French", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "bulldog” class to carry out this analysis. This setting replicates scenarios where LIME is applied", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "to a computationally expensive black box model, making it highly desirable to limit the number of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 452, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 104, + 452, + 506, + 465 + ], + "score": 1.0, + "content": "perturbations to reduce total running time. We run each sampling strategy for 2,000 perturbations", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "score": 1.0, + "content": "and plot the number of model queries versus error uncertainty. During focused sampling, we set the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 148, + 487 + ], + "score": 1.0, + "content": "batch size", + "type": "text" + }, + { + "bbox": [ + 149, + 474, + 158, + 484 + ], + "score": 0.8, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 473, + 506, + 487 + ], + "score": 1.0, + "content": "to 50. The results in Figure 3 show that focused sampling results in faster convergence", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "to reliable and high quality explanations; focused sampling stabilizes within a couple hundred model", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "score": 1.0, + "content": "queries while random sampling takes over 1,000. Note, as the inefficiency of querying the black box", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 507, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 520 + ], + "score": 1.0, + "content": "model increases, the advantages of focused sampling decreasing total running time of the explanations", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "score": 1.0, + "content": "will only become more pronounced. These results clearly demonstrate that focused sampling can", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "significantly speed up the process of generating high quality local explanations. Additionally, in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "Appendix C, we also check if focused sampling causes any bias (due to sampling based on uncertainty", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "score": 1.0, + "content": "estimates) that results in convergence to a different/wrong explanation, however our results clearly", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 236, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 236, + 573 + ], + "score": 1.0, + "content": "indicate that this is not the case.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 581, + 505, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "Stability of BayesLIME & BayesSHAP Recall that LIME & SHAP are not stable: small changes", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 593, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 506, + 605 + ], + "score": 1.0, + "content": "to instances can produce substantially different explanations. We consider whether BayesLIME &", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "BayesSHAP produce more stable explanations than their LIME & SHAP counterparts. 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Lower values indicate more stable explanations. 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The results in Figure 3 show that focused sampling results in faster convergence", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "to reliable and high quality explanations; focused sampling stabilizes within a couple hundred model", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 508 + ], + "score": 1.0, + "content": "queries while random sampling takes over 1,000. Note, as the inefficiency of querying the black box", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 507, + 505, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 520 + ], + "score": 1.0, + "content": "model increases, the advantages of focused sampling decreasing total running time of the explanations", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "score": 1.0, + "content": "will only become more pronounced. These results clearly demonstrate that focused sampling can", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "significantly speed up the process of generating high quality local explanations. Additionally, in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "Appendix C, we also check if focused sampling causes any bias (due to sampling based on uncertainty", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "score": 1.0, + "content": "estimates) that results in convergence to a different/wrong explanation, however our results clearly", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 236, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 236, + 573 + ], + "score": 1.0, + "content": "indicate that this is not the case.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 22.5, + "bbox_fs": [ + 104, + 375, + 506, + 573 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 581, + 505, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "Stability of BayesLIME & BayesSHAP Recall that LIME & SHAP are not stable: small changes", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 593, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 506, + 605 + ], + "score": 1.0, + "content": "to instances can produce substantially different explanations. 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The results given", + "type": "text", + "cross_page": true + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 304, + 351 + ], + "score": 1.0, + "content": "in Figure 4 show a clear improvement (on average", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 304, + 338, + 324, + 349 + ], + "score": 0.87, + "content": "5 3 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 324, + 338, + 505, + 351 + ], + "score": 1.0, + "content": ") in stability in all cases except German Credit", + "type": "text", + "cross_page": true + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "for BayesSHAP. 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The results given", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 338, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 304, + 351 + ], + "score": 1.0, + "content": "in Figure 4 show a clear improvement (on average", + "type": "text" + }, + { + "bbox": [ + 304, + 338, + 324, + 349 + ], + "score": 0.87, + "content": "5 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 338, + 505, + 351 + ], + "score": 1.0, + "content": ") in stability in all cases except German Credit", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "for BayesSHAP. Further, we run a Wilcoxon signed-rank test and find our results are statistically", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 360, + 507, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 201, + 374 + ], + "score": 1.0, + "content": "significant in all cases", + "type": "text" + }, + { + "bbox": [ + 202, + 360, + 242, + 372 + ], + "score": 0.82, + "content": "\\mathrm { / e < 1 e { - } 2 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 360, + 507, + 374 + ], + "score": 1.0, + "content": "except for BayesSHAP for German Credit, where there is not a", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 371, + 506, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 284, + 384 + ], + "score": 1.0, + "content": "significant difference between the methods", + "type": "text" + }, + { + "bbox": [ + 284, + 371, + 324, + 383 + ], + "score": 0.86, + "content": "\\zeta _ { \\rho } > 0 . 0 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 371, + 506, + 384 + ], + "score": 1.0, + "content": ". These results demonstrate BayesLIME and", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 381, + 317, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 317, + 395 + ], + "score": 1.0, + "content": "BayesSHAP are more stable than previous methods.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 403, + 505, + 588 + ], + "lines": [ + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "User Study We perform a user study with 31 subjects to compare BayesLIME and LIME explanations", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "score": 1.0, + "content": "on MNIST. We evaluate the following: are explanations with low levels of uncertainty (i.e., most", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 425, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 505, + 436 + ], + "score": 1.0, + "content": "confident explanations) more meaningful to humans? To answer this question, we follow prior work", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 435, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 506, + 448 + ], + "score": 1.0, + "content": "and mask the most important features selected by BayesLIME and LIME [32, 4]. We ask users to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 459 + ], + "score": 1.0, + "content": "guess the digit of the masked images. The better the explanation, the more difficult it should be", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "score": 1.0, + "content": "for the users to get it right. Further, the choice to mask the important features is motivated by its", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 467, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 104, + 467, + 506, + 482 + ], + "score": 1.0, + "content": "success in prior work. We randomly select 15 correctly predicted test images, generate explanations", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 312, + 492 + ], + "score": 1.0, + "content": "by sweeping over a range of perturbation amounts", + "type": "text" + }, + { + "bbox": [ + 313, + 478, + 373, + 491 + ], + "score": 0.91, + "content": "[ 1 \\dot { 0 } ^ { 5 } , . . . , 1 0 ^ { 3 . 5 } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 477, + 506, + 492 + ], + "score": 1.0, + "content": "incremented by 0.5. We choose", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 489, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 106, + 490, + 393, + 502 + ], + "score": 1.0, + "content": "the top explanation for each image based on either fidelity (for LIME) or", + "type": "text" + }, + { + "bbox": [ + 394, + 489, + 432, + 502 + ], + "score": 0.91, + "content": "P ( \\epsilon = 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 490, + 506, + 502 + ], + "score": 1.0, + "content": "(for BayesLIME).", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 499, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 506, + 513 + ], + "score": 1.0, + "content": "We sent the user study out to students and researchers with background in computer science. 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The better the explanation, the more difficult it should be", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 505, + 469 + ], + "score": 1.0, + "content": "for the users to get it right. Further, the choice to mask the important features is motivated by its", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 467, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 104, + 467, + 506, + 482 + ], + "score": 1.0, + "content": "success in prior work. We randomly select 15 correctly predicted test images, generate explanations", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 312, + 492 + ], + "score": 1.0, + "content": "by sweeping over a range of perturbation amounts", + "type": "text" + }, + { + "bbox": [ + 313, + 478, + 373, + 491 + ], + "score": 0.91, + "content": "[ 1 \\dot { 0 } ^ { 5 } , . . . , 1 0 ^ { 3 . 5 } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 477, + 506, + 492 + ], + "score": 1.0, + "content": "incremented by 0.5. We choose", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 489, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 106, + 490, + 393, + 502 + ], + "score": 1.0, + "content": "the top explanation for each image based on either fidelity (for LIME) or", + "type": "text" + }, + { + "bbox": [ + 394, + 489, + 432, + 502 + ], + "score": 0.91, + "content": "P ( \\epsilon = 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 490, + 506, + 502 + ], + "score": 1.0, + "content": "(for BayesLIME).", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 499, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 506, + 513 + ], + "score": 1.0, + "content": "We sent the user study out to students and researchers with background in computer science. A", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "screen shot of the task is shown in Figure 7 in the Appendix. We find that the explanations output", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 523, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 506, + 534 + ], + "score": 1.0, + "content": "by our methods focus on more informative parts of the image, since hiding them makes it difficult", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 533, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 337, + 546 + ], + "score": 1.0, + "content": "for humans to guess the digit. Users had an error rate of", + "type": "text" + }, + { + "bbox": [ + 338, + 533, + 365, + 544 + ], + "score": 0.89, + "content": "2 5 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 533, + 462, + 546 + ], + "score": 1.0, + "content": "for LIME, while it was", + "type": "text" + }, + { + "bbox": [ + 462, + 533, + 490, + 544 + ], + "score": 0.88, + "content": "3 0 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 533, + 506, + 546 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 543, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 284, + 557 + ], + "score": 1.0, + "content": "BayesLIME, both with standard error 0.003", + "type": "text" + }, + { + "bbox": [ + 284, + 545, + 327, + 556 + ], + "score": 0.83, + "content": "\\mathrm { \\Delta } \\rho = 0 . 0 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 543, + 506, + 557 + ], + "score": 1.0, + "content": "through a one-tailed two sample t-test). This", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 568 + ], + "score": 1.0, + "content": "result indicates that our method BayesLIME and the associated measure of explanation uncertainty", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 104, + 564, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 104, + 564, + 506, + 579 + ], + "score": 1.0, + "content": "result in more high quality and reliable explanations compared to LIME and its associated fidelity", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 577, + 138, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 138, + 589 + ], + "score": 1.0, + "content": "metric.", + "type": "text" + } + ], + "index": 56 + } + ], + "index": 48, + "bbox_fs": [ + 104, + 403, + 506, + 589 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 604, + 197, + 618 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 198, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 198, + 619 + ], + "score": 1.0, + "content": "5 Related Work", + "type": "text" + } + ], + "index": 57 + } + ], + "index": 57 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "Interpretability Methods A variety of interpretability methods have been proposed. Some methods", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "score": 1.0, + "content": "that are inherently interpretable include additive models [33, 34], decision lists and sets [35, 36],", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "and instance-based explanations [37]. However, black-box models are often more flexible, accurate,", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 106, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "and easier to use; thus, there has been a lot of interest in constructing post hoc explanations[38].", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "These include LIME [2] and SHAP [4, 39], which are among the most popular due to their broad", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "applicability and code availability, but saliency maps [5–8], permutation feature importance [40], and", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "partial dependency plots [41] also follow this paradigm. Other approaches to post hoc explanations", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 106, + 711, + 456, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 456, + 723 + ], + "score": 1.0, + "content": "focus on rule-based models [1, 3], counterfactuals [42, 43], and influence functions [9].", + "type": "text" + } + ], + "index": 65 + } + ], + "index": 61.5, + "bbox_fs": [ + 105, + 634, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 204 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Vulnerabilities of Post hoc Explanations Recent work has shed light on the downsides of post hoc", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "explanation techniques. These methods are often highly sensitive to small changes in inputs [14],", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "are susceptible to manipulation [15, 16, 44, 45], and are not faithful to the underlying black boxes", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "score": 1.0, + "content": "[46]. Perturbation-based explanation methods such as LIME and SHAP are subject to additional", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "criticisms: results vary between runs of the algorithms [18–20, 47, 21], and hyperparameters used to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 139 + ], + "score": 1.0, + "content": "select the perturbations can greatly influence the resulting explanation [20]. Prior work has attempted", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 138, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 506, + 151 + ], + "score": 1.0, + "content": "to tackle the problem of instability in perturbation-based explanations by averaging over several", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 148, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 104, + 148, + 506, + 163 + ], + "score": 1.0, + "content": "explanations [48, 19], however, this is computationally expensive. Other works related to creating", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 159, + 507, + 173 + ], + "spans": [ + { + "bbox": [ + 104, + 159, + 507, + 173 + ], + "score": 1.0, + "content": "more trustworthy explanations include development of sanity checks for explainers [49, 17, 50].", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "score": 1.0, + "content": "These techniques represent an important step towards improved usability, given experimental evidence", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "score": 1.0, + "content": "that humans are often too eager to accept inaccurate machine explanations [51–54]. Recent works", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 193, + 452, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 452, + 204 + ], + "score": 1.0, + "content": "theoretically analyze the sources of non-robustness in black box explanations [55–57].", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 213, + 505, + 268 + ], + "lines": [ + { + "bbox": [ + 106, + 213, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 213, + 505, + 225 + ], + "score": 1.0, + "content": "Logical and Formal Reasoning Additional related works have considered explaining classifiers", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 223, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 505, + 237 + ], + "score": 1.0, + "content": "through identifying a subset of features that are “sufficient” to explain a prediction [58–62]. Though", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 234, + 507, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 507, + 249 + ], + "score": 1.0, + "content": "these methods offer strong guarantees surrounding which features ensure a prediction is achieved,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 246, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 258 + ], + "score": 1.0, + "content": "they are not model agnostic. Further, they do not define feature importances associated with the local", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 507, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 507, + 270 + ], + "score": 1.0, + "content": "explanations nor consider ways to improve locally weighted explanations, such as LIME and SHAP.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 277, + 505, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "score": 1.0, + "content": "Bayesian Methods in Explainable ML Few recent works have adopted Bayesian formulations to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "explain black box models [63–65]. Guo et al. [63] introduce a Bayesian non-parametric approach to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "fit a global surrogate model. Their formulation seeks to fit a mixture of generalizable explanations", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "across instances. Zhao et al. [64] study whether incorporating informative priors improves the stability", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "of the resulting explanations. However, neither of these works focus on modeling the uncertainty of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 331, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 104, + 331, + 506, + 345 + ], + "score": 1.0, + "content": "local explanations. Further, these approaches also do not tackle the critical problems of estimating", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 344, + 399, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 399, + 356 + ], + "score": 1.0, + "content": "key hyperparameters or improving efficiency of computing explanations.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20 + }, + { + "type": "title", + "bbox": [ + 107, + 370, + 183, + 383 + ], + "lines": [ + { + "bbox": [ + 104, + 368, + 185, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 368, + 185, + 386 + ], + "score": 1.0, + "content": "6 Conclusion", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "We developed a Bayesian framework for generating local explanations along with their associated", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 406, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 417 + ], + "score": 1.0, + "content": "uncertainty. We instantiated this framework to obtain Bayesian versions of LIME and SHAP that", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 417, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 428 + ], + "score": 1.0, + "content": "output pointwise estimates of feature importances as well as their associated credible intervals. These", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "score": 1.0, + "content": "intervals enabled us to infer the quality of the explanations and output explanations that satisfied user", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "specified levels of uncertainty. We carried out theoretical analysis that leverages these uncertainty", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 449, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 461 + ], + "score": 1.0, + "content": "measures (credible intervals) to estimate the values of critical hyperparameters (e.g., the number of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "score": 1.0, + "content": "perturbations). We also proposed a novel sampling technique called focused sampling that leverages", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 471, + 454, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 454, + 483 + ], + "score": 1.0, + "content": "uncertainty estimates to determine how to sample perturbations for faster convergence.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "score": 1.0, + "content": "While the Bayesian framework addresses several critical challenges (i.e., consistency, stability,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "score": 1.0, + "content": "modeling uncertainty) associated with LIME and SHAP, there are still certain aspects where it", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "would exhibit the same shortcomings as LIME and SHAP [4, 66]. For instance, if the local decision", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "surface of a given black box classifier is highly non-linear, our framework, which relies on local", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "linear approximations, may not be able to capture this non-linear decision surface accurately. In", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "addition, if the perturbation sampling procedures used in LIME and SHAP are used in BayesLIME", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "and BayesSHAP, they will likely be vulnerable to the attacks proposed by Slack et al. [15]. In", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 577 + ], + "score": 1.0, + "content": "the future, it would be interesting to extend our framework to produce global explanations with", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 575, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 506, + 587 + ], + "score": 1.0, + "content": "uncertainty guarantees and explore how uncertainty quantification can help calibrate user trust in", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 586, + 189, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 189, + 598 + ], + "score": 1.0, + "content": "model explanations.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37.5 + }, + { + "type": "title", + "bbox": [ + 107, + 612, + 219, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 221, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 221, + 628 + ], + "score": 1.0, + "content": "7 Acknowledgments", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 636, + 505, + 692 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "We would like to thank the anonymous reviewers for their insightful feedback. This work is supported", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "in part by the NSF awards #IIS-2008461, #IIS-2008956, and #IIS-2040989, and research awards", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "score": 1.0, + "content": "from the Harvard Data Science Institute, Amazon, Bayer, Google, and the HPI Research Center in", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 669, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "Machine Learning and Data Science at UC Irvine. The views expressed are those of the authors and", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 680, + 378, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 378, + 694 + ], + "score": 1.0, + "content": "do not reflect the official policy or position of the funding agencies.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 301, + 742, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 204 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Vulnerabilities of Post hoc Explanations Recent work has shed light on the downsides of post hoc", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "explanation techniques. These methods are often highly sensitive to small changes in inputs [14],", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "are susceptible to manipulation [15, 16, 44, 45], and are not faithful to the underlying black boxes", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 505, + 117 + ], + "score": 1.0, + "content": "[46]. Perturbation-based explanation methods such as LIME and SHAP are subject to additional", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "criticisms: results vary between runs of the algorithms [18–20, 47, 21], and hyperparameters used to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 139 + ], + "score": 1.0, + "content": "select the perturbations can greatly influence the resulting explanation [20]. Prior work has attempted", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 138, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 506, + 151 + ], + "score": 1.0, + "content": "to tackle the problem of instability in perturbation-based explanations by averaging over several", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 148, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 104, + 148, + 506, + 163 + ], + "score": 1.0, + "content": "explanations [48, 19], however, this is computationally expensive. Other works related to creating", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 159, + 507, + 173 + ], + "spans": [ + { + "bbox": [ + 104, + 159, + 507, + 173 + ], + "score": 1.0, + "content": "more trustworthy explanations include development of sanity checks for explainers [49, 17, 50].", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 505, + 183 + ], + "score": 1.0, + "content": "These techniques represent an important step towards improved usability, given experimental evidence", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "score": 1.0, + "content": "that humans are often too eager to accept inaccurate machine explanations [51–54]. Recent works", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 193, + 452, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 452, + 204 + ], + "score": 1.0, + "content": "theoretically analyze the sources of non-robustness in black box explanations [55–57].", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 5.5, + "bbox_fs": [ + 104, + 73, + 507, + 204 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 213, + 505, + 268 + ], + "lines": [ + { + "bbox": [ + 106, + 213, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 213, + 505, + 225 + ], + "score": 1.0, + "content": "Logical and Formal Reasoning Additional related works have considered explaining classifiers", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 223, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 223, + 505, + 237 + ], + "score": 1.0, + "content": "through identifying a subset of features that are “sufficient” to explain a prediction [58–62]. Though", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 234, + 507, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 507, + 249 + ], + "score": 1.0, + "content": "these methods offer strong guarantees surrounding which features ensure a prediction is achieved,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 246, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 505, + 258 + ], + "score": 1.0, + "content": "they are not model agnostic. Further, they do not define feature importances associated with the local", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 507, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 507, + 270 + ], + "score": 1.0, + "content": "explanations nor consider ways to improve locally weighted explanations, such as LIME and SHAP.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 213, + 507, + 270 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 277, + 505, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 290 + ], + "score": 1.0, + "content": "Bayesian Methods in Explainable ML Few recent works have adopted Bayesian formulations to", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "explain black box models [63–65]. Guo et al. [63] introduce a Bayesian non-parametric approach to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "fit a global surrogate model. Their formulation seeks to fit a mixture of generalizable explanations", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 311, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 323 + ], + "score": 1.0, + "content": "across instances. Zhao et al. [64] study whether incorporating informative priors improves the stability", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "of the resulting explanations. However, neither of these works focus on modeling the uncertainty of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 331, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 104, + 331, + 506, + 345 + ], + "score": 1.0, + "content": "local explanations. Further, these approaches also do not tackle the critical problems of estimating", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 344, + 399, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 399, + 356 + ], + "score": 1.0, + "content": "key hyperparameters or improving efficiency of computing explanations.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 277, + 506, + 356 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 370, + 183, + 383 + ], + "lines": [ + { + "bbox": [ + 104, + 368, + 185, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 368, + 185, + 386 + ], + "score": 1.0, + "content": "6 Conclusion", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 394, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "We developed a Bayesian framework for generating local explanations along with their associated", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 406, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 417 + ], + "score": 1.0, + "content": "uncertainty. We instantiated this framework to obtain Bayesian versions of LIME and SHAP that", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 417, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 428 + ], + "score": 1.0, + "content": "output pointwise estimates of feature importances as well as their associated credible intervals. These", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "score": 1.0, + "content": "intervals enabled us to infer the quality of the explanations and output explanations that satisfied user", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "specified levels of uncertainty. We carried out theoretical analysis that leverages these uncertainty", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 449, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 461 + ], + "score": 1.0, + "content": "measures (credible intervals) to estimate the values of critical hyperparameters (e.g., the number of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 474 + ], + "score": 1.0, + "content": "perturbations). We also proposed a novel sampling technique called focused sampling that leverages", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 471, + 454, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 454, + 483 + ], + "score": 1.0, + "content": "uncertainty estimates to determine how to sample perturbations for faster convergence.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 395, + 506, + 483 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 500 + ], + "score": 1.0, + "content": "While the Bayesian framework addresses several critical challenges (i.e., consistency, stability,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "score": 1.0, + "content": "modeling uncertainty) associated with LIME and SHAP, there are still certain aspects where it", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "would exhibit the same shortcomings as LIME and SHAP [4, 66]. For instance, if the local decision", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "surface of a given black box classifier is highly non-linear, our framework, which relies on local", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "linear approximations, may not be able to capture this non-linear decision surface accurately. In", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "addition, if the perturbation sampling procedures used in LIME and SHAP are used in BayesLIME", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "and BayesSHAP, they will likely be vulnerable to the attacks proposed by Slack et al. [15]. In", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 564, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 577 + ], + "score": 1.0, + "content": "the future, it would be interesting to extend our framework to produce global explanations with", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 575, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 506, + 587 + ], + "score": 1.0, + "content": "uncertainty guarantees and explore how uncertainty quantification can help calibrate user trust in", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 586, + 189, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 189, + 598 + ], + "score": 1.0, + "content": "model explanations.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 486, + 506, + 598 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 612, + 219, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 221, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 221, + 628 + ], + "score": 1.0, + "content": "7 Acknowledgments", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 636, + 505, + 692 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "We would like to thank the anonymous reviewers for their insightful feedback. This work is supported", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "in part by the NSF awards #IIS-2008461, #IIS-2008956, and #IIS-2040989, and research awards", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 672 + ], + "score": 1.0, + "content": "from the Harvard Data Science Institute, Amazon, Bayer, Google, and the HPI Research Center in", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 669, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 505, + 683 + ], + "score": 1.0, + "content": "Machine Learning and Data Science at UC Irvine. 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Require: Model f,Data instance x, Number of perturbations N,Number of seed perturbations S,
Batch size B,Pool size A, tempurature T 1: function FOCUSED SAMPLE
Initialize Z with S seed perturbations.
2:
3:Fit on Z Using Eqn (6)
4:fori←1toN-Sinincrements ofBdo
5:Q ←Generate Acandidate perturbations Using Eqn (11)
6:Compute var(y(z)) on Q
7:Define Qdist as X exp(var(g(z))/τ)
8:Qnew ← Draw B samples from Qdist
9:Z ← ZU Qnew; Fit on Z Using Eqn (6)
10: end for
11: return $
12: end function
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TABULAR DATASETSMNIST
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German Credit96.989.6Digit 295.897.4
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sha256:21aa1519eadc684086b06717f79212e707493e25c9888f4d94422b3cbb3912f9 +size 807604 diff --git a/parse/train/rJlHIo09KQ/rJlHIo09KQ_span.pdf b/parse/train/rJlHIo09KQ/rJlHIo09KQ_span.pdf new file mode 100644 index 0000000000000000000000000000000000000000..2e441b5c8871cb9b323989b6e2f3e6351edd0da4 --- /dev/null +++ b/parse/train/rJlHIo09KQ/rJlHIo09KQ_span.pdf @@ -0,0 +1,3 @@ +version https://git-lfs.github.com/spec/v1 +oid sha256:563dae0dadfdda7bd9d45fc815e4c95a61cab2b521b9d750f5a165d0ac054681 +size 935748 diff --git a/parse/train/rkEFLFqee/rkEFLFqee.md b/parse/train/rkEFLFqee/rkEFLFqee.md new file mode 100644 index 0000000000000000000000000000000000000000..17e1ad545cb3dd76d8042ae4098d7e788655d2dd --- /dev/null +++ b/parse/train/rkEFLFqee/rkEFLFqee.md @@ -0,0 +1,299 @@ +# DECOMPOSING MOTION AND CONTENT FOR NATURAL VIDEO SEQUENCE PREDICTION + +Ruben Villegas1 Jimei Yang2 Seunghoon Hong3,∗ Xunyu Lin4,\* Honglak Lee1,5 + +1University of Michigan, Ann Arbor, USA +2Adobe Research, San Jose, CA 95110 +3POSTECH, Pohang, Korea +4Beihang University, Beijing, China +5Google Brain, Mountain View, CA 94043 + +# ABSTRACT + +We propose a deep neural network for the prediction of future frames in natural video sequences. To effectively handle complex evolution of pixels in videos, we propose to decompose the motion and content, two key components generating dynamics in videos. Our model is built upon the Encoder-Decoder Convolutional Neural Network and Convolutional LSTM for pixel-level prediction, which independently capture the spatial layout of an image and the corresponding temporal dynamics. By independently modeling motion and content, predicting the next frame reduces to converting the extracted content features into the next frame content by the identified motion features, which simplifies the task of prediction. Our model is end-to-end trainable over multiple time steps, and naturally learns to decompose motion and content without separate training. We evaluate the proposed network architecture on human activity videos using KTH, Weizmann action, and UCF-101 datasets. We show state-of-the-art performance in comparison to recent approaches. To the best of our knowledge, this is the first end-to-end trainable network architecture with motion and content separation to model the spatio-temporal dynamics for pixel-level future prediction in natural videos. + +# 1 INTRODUCTION + +Understanding videos has been one of the most important tasks in the field of computer vision. Compared to still images, the temporal component of videos provides much richer descriptions of the visual world, such as interaction between objects, human activities, and so on. Amongst the various tasks applicable on videos, the task of anticipating the future has recently received increased attention in the research community. Most prior works in this direction focus on predicting high-level semantics in a video such as action (Vondrick et al., 2015; Ryoo, 2011; Lan et al., 2014), event (Yuen and Torralba, 2010; Hoai and Torre, 2013) and motion (Pintea et al., 2014; Walker et al., 2014; Pickup et al., 2014; Walker et al., 2016). Forecasting semantics provides information about what will happen in a video, and is essential to automate decision making. However, the predicted semantics are often specific to a particular task and provide only a partial description of the future. Also, training such models often requires heavily labeled training data which leads to tremendous annotation costs especially with videos. + +In this work, we aim to address the problem of prediction of future frames in natural video sequences. Pixel-level predictions provide dense and direct description of the visual world, and existing video recognition models can be adopted on top of the predicted frames to infer various semantics of the future. Spatio-temporal correlations in videos provide a self-supervision for frame prediction, which enables purely unsupervised training of a model by observing raw video frames. Unfortunately, estimating frames is an extremely challenging task; not only because of the inherent uncertainty of the future, but also various factors of variation in videos leading to complicated dynamics in raw pixel values. There have been a number of recent attempts on frame prediction (Srivastava et al., 2015; Mathieu et al., 2015; Oh et al., 2015; Goroshin et al., 2015; Lotter et al., 2015; Ranzato et al., 2014), which use a single encoder that needs to reason about all the different variations occurring in videos in order to make predictions of the future, or require extra information like foreground-background segmentation masks and static background (Vondrick et al., 2016). + +We propose a Motion-Content Network (MCnet) for robust future frame prediction. Our intuition is to split the inputs for video prediction into two easily identifiable groups, motion and content, and independently capture each information stream with separate encoder pathways. In this architecture, the motion pathway encodes the local dynamics of spatial regions, while the content pathway encodes the spatial layout of the salient parts of an image. The prediction of the future frame is then achieved by transforming the content of the last observed frame given the identified dynamics up to the last observation. Somewhat surprisingly, we show that such a network is end-to-end trainable without individual path way supervision. Specifically, we show that an asymmetric architecture for the two pathways enables such decompositions without explicit supervision. The contributions of this paper are summarized below: + +• We propose MCnet for the task of frame prediction, which separates the information streams (motion and content) into different encoder pathways. +• The proposed network is end-to-end trainable and naturally learns to decompose motion and content without separate training, and reduces the task of frame prediction to transforming the last observed frame into the next by the observed motion. +• We evaluate the proposed model on challenging real-world video datasets, and show that it outperforms previous approaches on frame prediction. + +The rest of the paper is organized as follows. We briefly review related work in Section 2, and introduce an overview of the proposed algorithm in Section 3. The detailed configuration of the proposed network is described in Section 4. Section 5 describes training and inference procedure. Section 6 illustrates implementation details and experimental results on challenging benchmarks. + +# 2 RELATED WORK + +The problem of visual future prediction has received growing interests in the computer vision community. It has led to various tasks depending on the objective of future prediction, such as human activity (Vondrick et al., 2015; Ryoo, 2011; Lan et al., 2014), event (Yuen and Torralba, 2010; Hoai and Torre, 2013) and geometric path (Walker et al., 2014). Although previous work achieved reasonable success in specific tasks, they are often limited to estimating predefined semantics, and require fully-labeled training data. To alleviate this issue, approaches predicting representation of the future beyond semantic labels have been proposed. Walker et al. (2014) proposed a data-driven approach to predict the motion of a moving object, and coarse hallucination of the predicted motion. Vondrick et al. (2015) proposed a deep regression network to predict feature representations of the future frames. These approaches are supervised and provide coarse predictions of how the future will look like. Our work also focuses on unsupervised learning for prediction of the future, but to a more direct visual prediction task: frame prediction. + +Compared to predicting semantics, pixel-level prediction has been less investigated due to the difficulties in modeling evolution of raw pixels over time. Fortunately, recent advances in deep learning provide a powerful tool for sequence modeling, and enable the creation of novel architectures for modeling complex sequential data. Ranzato et al. (2014) applied a recurrent neural network developed for language modeling to frame prediction by posing the task as classification of each image region to one of quantized patch dictionaries. Srivastava et al. (2015) applied a sequence-tosequence model to video prediction, and showed that Long Short-Term Memory (LSTM) is able to capture pixel dynamics. Oh et al. (2015) proposed an action-conditional encoder-decoder network to predict future frames in Atari games. In addition to the different choices of architecture, some other works addressed the importance of selecting right objective function: Lotter et al. (2015) used adversarial loss with combined CNN and LSTM architectures, and Mathieu et al. (2015) employed similar adversarial loss with additional regularization using a multi-scale encoder-decoder network. Finn et al. (2016) constructed a network that predicts transformations on the input pixels for next frame prediction. Patraucean et al. (2015) proposed a network that by explicitly predicting optical flow features is able to predict the next frame in a video. Vondrick et al. (2016) proposed a generative adversarial network for video which, by generating a background-foreground mask, is able to generate realistic-looking video sequences. However, none of the previously mentioned approaches exploit spatial and temporal information separately in an unsupervised fashion. In terms of the way data is observed, the closest work to ours is Xue et al. (2016). The differences are (1) Our model is deterministic and theirs is probabilistic, (2) our motion encoder is based on convolutional LSTM (Shi et al., 2015) which is a more natural module to model long-term dynamics, (3) our content encoder observes a single scale input and theirs observes many scales, and (4) we directly generate image pixels values, which is a more complicated task. We aim to exploit the existing spatio-temporal correlations in videos by decomposing the motion and content in our network architecture. + +To the best of our knowledge, the idea of separating motion and content has not been investigated in the task of unsupervised deterministic frame prediction. The proposed architecture shares similarities to the two-stream CNN (Simonyan and Zisserman, 2014), which is designed for action recognition to jointly exploit the information from frames and their temporal dynamics. However, in contrast to their network we aim to learn features for temporal dynamics directly from the raw pixels, and we use the identified features from the motion in combination with spatial features to make pixel-level predictions of the future. + +# 3 ALGORITHM OVERVIEW + +In this section, we formally define the task of frame prediction and the role of each component in the proposed architecture. Let ${ \bf x } _ { t } \in \mathrm { R } ^ { w \times h \times c }$ denote the $t$ -th frame in an input video $\mathbf { x }$ , where $w , h$ , and $c$ denote width, height, and number of channels, respectively. The objective of frame prediction is to generate the future frame $\hat { \mathbf { x } } _ { t + 1 }$ given the input frames $\mathbf { x } _ { 1 : t }$ . + +At the $t { \cdot }$ -th time step, our network observes a history of previous consecutive frames up to frame $t$ and generates the prediction of the next frame $\hat { \mathbf { x } } _ { t + 1 }$ as follows: + +• Motion Encoder recurrently takes an image difference input between frame $\mathbf { x } _ { t }$ and $\mathbf { x } _ { t - 1 }$ starting from $t = 2$ , and produces the hidden representation $\mathbf { d } _ { t }$ encoding the temporal dynamics of the scene components (Section 4.1). +Content Encoder takes the last observed frame $\mathbf { x } _ { t }$ as an input, and outputs the hidden representation $\mathbf { s } _ { t }$ that encodes the spatial layout of the scene (Section 4.2). +Multi-Scale Motion-Content Residual takes the computed features, from both the motion and content encoders, at every scale right before pooling and computes residuals $\mathbf { r } _ { t }$ (He et al., 2015) to aid the information loss caused by pooling in the encoding phase (Section 4.3). +Combination Layers and Decoder takes the outputs from both encoder pathways and residual connections, $\mathbf { d } _ { t }$ , $\mathbf { s } _ { t }$ , and $\mathbf { r } _ { t }$ , and combines them to produce a pixel-level prediction of the next frame $\hat { \mathbf { x } } _ { t + 1 }$ (Section 4.4). + +The overall architecture of the proposed algorithm is described in Figure 1. The prediction of multiple frames, $\hat { \mathbf { x } } _ { t + 1 : t + T }$ , can be achieved by recursively performing the above procedures over $T$ time steps (Section 5). Each component in the proposed architecture is described in the following section. + +# 4 ARCHITECTURE + +This section describes the detailed configuration of the proposed architecture, including the two encoder pathways, multi-scale residual connections, combination layers, and decoder. + +# 4.1 MOTION ENCODER + +The motion encoder captures the temporal dynamics of the scene’s components by recurrently observing subsequent difference images computed from $\mathbf { x } _ { t - 1 }$ and $\mathbf { x } _ { t }$ , and outputs motion features by + +$$ +\left[ \mathbf { d } _ { t } , \mathbf { c } _ { t } \right] = f ^ { \mathrm { d y n } } \left( \mathbf { x } _ { t } - \mathbf { x } _ { t - 1 } , \mathbf { d } _ { t - 1 } , \mathbf { c } _ { t - 1 } \right) , +$$ + +where ${ \bf x } _ { t } - { \bf x } _ { t - 1 }$ denotes element-wise subtraction between frames at time $t$ and $t - 1$ , $\mathbf { d } _ { t } \in \mathbb { R } ^ { w ^ { \prime } \times h ^ { \prime } \times c ^ { \prime } }$ is the feature tensor encoding the motion across the observed difference image inputs, and $\mathbf { c } _ { t } ~ \in$ $\mathbb { R } ^ { w ^ { \prime } \times h ^ { \prime } \times c ^ { \prime } }$ is a memory cell that retains information of the dynamics observed through time. $f ^ { \mathrm { d y n } }$ is implemented in a fully-convolutional way to allow our model to identify local dynamics of frames rather than complicated global motion. For this, we use an encoder CNN with a Convolutional LSTM (Shi et al., 2015) layer on top. + +![](images/b14e2d7ec424a851a2e17a83ef8e07c7d7ba00e0ed72fbf2fe41c30066abfd0b.jpg) +Figure 1: Overall architecture of the proposed network. (a) illustrates MCnet without the MotionContent Residual skip connections, and (b) illustrates MCnet with such connections. Our network observes a history of image differences through the motion encoder and last observed image through the content encoder. Subsequently, our network proceeds to compute motion-content features and communicates them to the decoder for the prediction of the next frame. + +# 4.2 CONTENT ENCODER + +The content encoder extracts important spatial features from a single frame, such as the spatial layout 64 64 64 64of the scene and salient objects in a video. Specifically, it takes the last observed frame $\mathbf { x } _ { t }$ as an input, and produces content features by + +$$ +{ \bf s } _ { t } = f ^ { \mathrm { c o n t } } \left( { \bf x } _ { t } \right) , +$$ + +where $\mathbf { s } _ { t } \in \mathbb { R } ^ { w ^ { \prime } \times h ^ { \prime } \times c ^ { \prime } }$ is the feature encoding the spatial content of the last observed frame, and $f ^ { \mathrm { c o n t } }$ is implemented by a Convolutional Neural Network (CNN) that specializes on extracting features from single frame. + +It is important to note that our model employs an asymmetric architecture for the motion and content encoder. The content encoder takes the last observed frame, which keeps the most critical clue to reconstruct spatial layout of near future, but has no information about dynamics. On the other hand, the motion encoder takes a history of previous image differences, which are less informative about the future spatial layout compared to the last observed frame, yet contain important spatio-temporal variations occurring over time. This asymmetric architecture encourages encoders to exploit each of two pieces of critical information to predict the future content and motion individually, and enables the model to learn motion and content decomposition naturally without any supervision. + +# 4.3 MULTI-SCALE MOTION-CONTENT RESIDUAL + +To prevent information loss after the pooling operations in our motion and content encoders, we use residual connections (He et al., 2015). The residual connections in our network communicate motion-content features at every scale into the decoder layers after unpooling operations. The residual feature at layer $l$ is computed by + +$$ +\mathbf { r } _ { t } ^ { l } = f ^ { \mathrm { r e s } } \left( \left[ \mathbf { s } _ { t } ^ { l } , \mathbf { d } _ { t } ^ { l } \right] \right) ^ { l } , +$$ + +where $\mathbf { r } _ { t } ^ { l }$ is the residual output at layer $l$ , $\left[ \mathbf { s } _ { t } ^ { l } , \mathbf { d } _ { t } ^ { l } \right]$ is the concatenation of the motion and content features along the depth dimension at layer $l$ of their respective encoders, $f ^ { \mathrm { r e s } } \left( . \right) ^ { l }$ the residual function at layer $l$ implemented as consecutive convolution layers and rectification with a final linear layer. + +# 4.4 COMBINATION LAYERS AND DECODER + +The outputs from the two encoder pathways, $\mathbf { d } _ { t }$ and $\mathbf { s } _ { t }$ , encode a high-level representation of motion and content, respectively. Given these representations, the objective of the decoder is to generate a + +pixel-level prediction of the next frame $\hat { \mathbf { x } } _ { t + 1 } \in \mathbb { R } ^ { w \times h \times c }$ . To this end, it first combines the motion and content back into a unified representation by + +$$ +\mathbf { f } _ { t } = g ^ { \mathrm { c o m b } } \left( \left[ \mathbf { d } _ { t } , \mathbf { s } _ { t } \right] \right) , +$$ + +where $[ \mathbf { d } _ { t } , \mathbf { s } _ { t } ] \in \mathbb { R } ^ { w ^ { \prime } \times h ^ { \prime } \times 2 c ^ { \prime } }$ denotes the concatenation of the higher-level motion and content features in the depth dimension, and $\mathbf { f } _ { t } \in \mathbb { R } ^ { w ^ { \prime } \times h ^ { \prime } \times c ^ { \prime } }$ denotes the combined high-level representation of motion and content. $g ^ { \mathrm { c o m b } }$ is implemented by a CNN with bottleneck layers (Hinton and Salakhutdinov, 2006); it first projects both $\mathbf { d } _ { t }$ and $\mathbf { s } _ { t }$ into a lower-dimensional embedding space, and then puts it back to the original size to construct the combined feature $\mathbf { f } _ { t }$ . Intuitively, $\mathbf { f } _ { t }$ can be viewed as the content feature of the next time step, $\mathbf { s } _ { t + 1 }$ , which is generated by transforming $\mathbf { s } _ { t }$ using the observed dynamics encoded in $\mathbf { d } _ { t }$ . Then our decoder places $\mathbf { f } _ { t }$ back into the original pixel space by + +$$ +\begin{array} { r } { \hat { \mathbf { x } } _ { t + 1 } = g ^ { \mathrm { d e c } } \left( \mathbf { f } _ { t } , \mathbf { r } _ { t } \right) , } \end{array} +$$ + +where $\mathbf { r } _ { t }$ is a list containing the residual connections from every layer of the motion and content encoders before pooling sent to every layer of the decoder after unpooling. We employ the deconvolution network (Zeiler et al., 2011) for our decoder network $g ^ { \mathrm { d e c } }$ , which is composed of multiple successive operations of deconvolution, rectification and unpooling with the addition of the motioncontent residual connections after each unpooling operation. The output layer is passed through a tanh (.) activation function. Unpooling with fixed switches are used to upsample the intermediate activation maps. + +# 5 INFERENCE AND TRAINING + +Section 4 describes the procedures for single frame prediction, while this section presents the extension of our algorithm for the prediction of multiple time steps. + +# 5.1 MULTI-STEP PREDICTION + +Given an input video, our network observes the first $n$ frames as image difference between frame $\mathbf { x } _ { t }$ and $\mathbf { x } _ { t - 1 }$ , starting from $t = 2$ up to $t = n$ , to encode initial temporal dynamics through the motion encoder. The last frame ${ \bf x } _ { n }$ is given to the content encoder to be transformed into the first prediction $\hat { \mathbf { x } } _ { t + 1 }$ by the identified motion features. + +For each time step $t \in [ n + 1 , n + T ]$ , where $T$ is the desired number of prediction steps, our network takes the difference image between the first prediction $\hat { \mathbf { x } } _ { t + 1 }$ and the previous image $\mathbf { x } _ { t }$ , and the first prediction $\hat { \mathbf { x } } _ { t + 1 }$ itself to predict the next frame $\hat { \mathbf { x } } _ { t + 2 }$ , and so forth. + +# 5.2 TRAINING OBJECTIVE + +To train our network, we use an objective fMathieu et al. (2015). Given the training data $D = \{ \mathbf { x } _ { 1 , . . . , T } ^ { ( i ) } \} _ { i = 1 } ^ { N }$ of different sub-losses similar to, our model is trained to minimize + +$$ +\begin{array} { r } { \mathcal { L } = \alpha \mathcal { L } _ { \mathrm { i m g } } + \beta \mathcal { L } _ { \mathrm { G A N } } , } \end{array} +$$ + +where $\alpha$ and $\beta$ are hyper-parameters that control the effect of each sub-loss during optimization. $\mathcal { L } _ { \mathrm { i m g } }$ is the loss in image space from Mathieu et al. (2015) defined by + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { i m g } } = \mathcal { L } _ { p } \left( \mathbf { x } _ { t + k } , \hat { \mathbf { x } } _ { t + k } \right) + \mathcal { L } _ { g d l } \left( \mathbf { x } _ { t + k } , \hat { \mathbf { x } } _ { t + k } \right) , } \end{array} +$$ + +$$ +\begin{array} { l } { { \displaystyle \mathcal { L } _ { p } \left( { \bf y } , { \bf z } \right) = \sum _ { k = 1 } ^ { T } \left| \left| { \bf y } - { \bf z } \right| \right| _ { p } ^ { p } } , \ ~ } \\ { { \displaystyle \mathcal { L } _ { g d l } \left( { \bf y } , { \bf z } \right) = \sum _ { i , j } ^ { h , w } \left| \left( \left| { \bf y } _ { i , j } - { \bf y } _ { i - 1 , j } \right| - \left| { \bf z } _ { i , j } - { \bf z } _ { i - 1 , j } \right| \right) \right| ^ { \lambda } } } \\ { { \displaystyle ~ + \left| \left( \left| { \bf y } _ { i , j - 1 } - { \bf y } _ { i , j } \right| - \left| { \bf z } _ { i , j - 1 } - { \bf z } _ { i , j } \right| \right) \right| ^ { \lambda } } . } \end{array} +$$ + +Here, $\mathbf { x } _ { t + k }$ and $\hat { \mathbf { x } } _ { t + k }$ are the target and predicted frames, respectively, and $p$ and $\lambda$ are hyperparameters for ${ \mathcal { L } } _ { p }$ and $\mathcal { L } _ { g d l }$ , respectively. Intuitively, ${ \mathcal { L } } _ { p }$ guides our network to match the average pixel values directly, while $\mathcal { L } _ { g d l }$ guides our network to match the gradients of such pixel values. Overall, $\mathcal { L } _ { \mathrm { i m g } }$ guides our network to learn parameters towards generating the correct average sequence given the input. Training to generate average sequences, however, results in somewhat blurry generations which is the reason we use an additional sub-loss. ${ \mathcal { L } } _ { \mathrm { G A N } }$ is the generator loss in adversarial training to allow our model to predict realistic looking frames and it is defined by + +$$ +\mathcal { L } _ { \mathrm { G A N } } = - \log D \left( \left[ \mathbf { x } _ { 1 : t } , G \left( \mathbf { x } _ { 1 : t } \right) \right] \right) , +$$ + +where $\mathbf { x } _ { 1 : t }$ is the concatenation of the input images, $\mathbf { x } _ { t + 1 : t + T }$ is the concatenation of the ground-truth future images, $G \left( \mathbf { x } _ { 1 : t } \right) = \hat { \mathbf { x } } _ { t + 1 : t + T }$ is the concatenation of all predicted images along the depth dimension, and $D \left( . \right)$ is the discriminator in adversarial training. The discriminative loss in adversarial training is defined by + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { d i s c } } = - \log D \left( \left[ \mathbf { x } _ { 1 : t } , \mathbf { x } _ { t + 1 : t + T } \right] \right) - \log \left( 1 - D \left( \left[ \mathbf { x } _ { 1 : t } , G \left( \mathbf { x } _ { 1 : t } \right) \right] \right) \right) . } \end{array} +$$ + +${ \mathcal { L } } _ { \mathrm { G A N } }$ , in addition to $\mathcal { L } _ { \mathrm { i m g } }$ , allows our network to not only generate the target sequence, but also simultaneously enforce realism in the images through visual sharpness that fools the human eye. Note that our model uses its predictions as input for the next time-step during the training, which enables the gradients to flow through time and makes the network robust for error propagation during prediction. For more a detailed description about adversarial training, please refer to Appendix D. + +# 6 EXPERIMENTS + +In this section, we present experiments using our network for video generation. We first evaluate our network, MCnet, on the KTH (Schuldt et al., 2004) and Weizmann action (Gorelick et al., 2007) datasets, and compare against a baseline convolutional LSTM (ConvLSTM) (Shi et al., 2015). We then proceed to evaluate on the more challenging UCF-101 (Soomro et al., 2012) dataset, in which we compare against the same ConvLSTM baseline and also the current state-of-the-art method by Mathieu et al. (2015). For all our experiments, we use $\alpha = 1$ , $\lambda = 1$ , and $p = 2$ in the loss functions. + +In addition to the results in this section, we also provide more qualitative comparisons in the supplementary material and in the videos on the project website: https://sites.google. com/a/umich.edu/rubenevillegas/iclr2017. + +Architectures. The content encoder of MCnet is built with the same architecture as VGG16 (Simonyan and Zisserman, 2015) up to the third pooling layer. The motion encoder of MCnet is also similar to VGG16 up to the third pooling layer, except that we replace its consecutive 3x3 convolutions with single 5x5, 5x5, and $7 \mathrm { x } 7 $ convolutions in each layer. The combination layers are composed of 3 consecutive 3x3 convolutions (256, 128, and 256 channels in each layer). The multi-scale residuals are composed of 2 consecutive 3x3 convolutions. The decoder is the mirrored architecture of the content encoder where we perform unpooling followed by deconvolution. For the baseline ConvLSTM, we use the same architecture as the motion encoder, residual connections, and decoder, except we increase the number of channels in the encoder in order to have an overall comparable number of parameters with MCnet. + +# 6.1 KTH AND WEIZMANN ACTION DATASETS + +Experimental settings. The KTH human action dataset (Schuldt et al., 2004) contains 6 categories of periodic motions on a simple background: running, jogging, walking, boxing, hand-clapping and hand-waiving. We use person 1-16 for training and 17-25 for testing, and also resize frames to $1 2 8 \mathrm { x } 1 2 8$ pixels. We train our network and baseline by observing 10 frames and predicting 10 frames into the future on the KTH dataset. We set $\beta = 0 . 0 2$ for training. We also select the walking, running, one-hand waving, and two-hands waving sequences from the Weizmann action dataset (Gorelick et al., 2007) for testing the networks’ generalizability. + +For all the experiments, we test the networks on predicting 20 time steps into the future. As for evaluation, we use the same SSIM and PSNR metrics as in Mathieu et al. (2015). The evaluation on KTH was performed on sub-clips within each video in the testset. We sample sub-clips every 3 frames for running and jogging, and sample sub-clips every 20 frames (skipping the frames we have already predicted) for walking, boxing, hand-clapping, and hand-waving. Sub-clips for running, jogging, and walking were manually trimmed to ensure humans are always present in the frames. The evaluation on Weizmann was performed on all sub-clips in the selected sequences. + +![](images/a4613d092003dc38238ba869a61c25db2807fc56496c74f12bda75bcd4e41fad.jpg) +Figure 2: Quantitative comparison between MCnet and ConvLSTM baseline with and without multiscale residual connections (indicated by $" +$ RES"). Given 10 input frames, the models predict 20 frames recursively, one by one. Left column: evaluation on KTH dataset (Schuldt et al., 2004). Right colum: evaluation on Weizmann (Gorelick et al., 2007) dataset. + +Results. Figure 2 summarizes the quantitative comparisons among our MCnet, ConvLSTM baseline and their residual variations. In the KTH test set, our network outperforms the ConvLSTM baseline by a small margin. However, when we test the residual versions of MCnet and ConvLSTM on the dataset (Gorelick et al., 2007) with similar motions, we can see that our network can generalize well to the unseen contents by showing clear improvements, especially in long-term prediction. One reason for this result is that the test and training partitions of the KTH dataset have simple and similar image contents so that ConvLSTM can memorize the average background and human appearance to make reasonable predictions. However, when tested on unseen data, ConvLSTM has to internally take care of both scene dynamics and image contents in a mingled representation, which gives it a hard time for generalization. In contrast, the reason our network outperforms the ConvLSTM baseline on unseen data is that our network focuses on identifying general motion features and applying them to a learned content representation. + +Figure 3 presents qualitative results of multi-step prediction by our network and ConvLSTM. As expected, prediction results by our full architecture preserves human shapes more accurately than the baseline. It is worth noticing that our network produces very sharp prediction over long-term time steps; it shows that MCnet is able to capture periodic motion cycles, which reduces the uncertainty of future prediction significantly. More qualitative comparisons are shown in the supplementary material and the project website. + +# 6.2 UCF-101 DATASET + +Experimental settings. This section presents results on the challenging real-world videos in the UCF-101 (Soomro et al., 2012) dataset. Having collected from YouTube, the dataset contains 101 realistic human actions taken in a wild and exhibits various challenges, such as background clutter, occlusion, and complicated motion. We employed the same network architecture as in the KTH dataset, but resized frames to $2 4 0 \mathrm { x } 3 2 0$ pixels, and trained the network to observe 4 frames and predict a single frame. We set $\beta = 0 . 0 0 1$ for training. We also trained our convolutional LSTM baseline in the same way. Following the same protocol as Mathieu et al. (2015) for data pre-processing and evaluation metrics on full images, all networks were trained on Sports-1M (Karpathy et al., 2014) dataset and tested on UCF-101 unless otherwise stated.1 + +![](images/57c95513a034932d176e82012cb29ebd08dad0466bd953290918a2998722efb6.jpg) +Figure 3: Qualitative comparison between our MCNet model and ConvLSTM. We display predictions starting from the $1 2 ^ { \mathrm { t h } }$ frame, in every 3 timesteps. The first 3 rows correspond to KTH dataset for the action of jogging and the last 3 rows correspond to Weizmann dataset for the action of walking. + +Results. Figure 4 shows the quantitative comparisons between our network trained for single-stepprediction and Mathieu et al. (2015). We can clearly see the advantage of our network over the baseline. The separation of motion and contents in two encoder pathways allows our network to identify key motion and content features, which are then fed into the decoder to yield predictions of higher quality compared to the baseline.2 In other words, our network only moves what shows motion in the past, and leaves the rest untouched. We also trained a residual version of MCnet on UCF-101, indicated by “MCnet $^ +$ RES UCF101", to compare how well our model generalizes when trained and tested on the same or different dataset(s). To our surprise, when tested with UCF-101, the MCnet trained on Sports-1M (MCnet $^ +$ RES) roughly matches the performance of the MCnet trained on UCF-101 (MCnet $^ +$ RES UCF101), which suggests that our model learns effective representations which can generalize to new datasets. Figure 5 presents qualitative comparisons between frames generated by our network and Mathieu et al. (2015). Since the ConvLSTM and Mathieu et al. (2015) lack explicit motion and content modules, they lose sense of the dynamics in the video and therefore the contents become distorted quickly. More qualitative comparisons are shown in the supplementary material and the project website. + +![](images/0e476f9ab07ef0f449a3c49aa1c132980617cfa38f63b273c4a345355d3fa9d8.jpg) +Figure 4: Quantitative comparison between our model, convolutional LSTM Shi et al. (2015), and Mathieu et al. (2015). Given 4 input frames, the models predict 8 frames recursively, one by one. + +# 7 CONCLUSION + +We proposed a motion-content network for pixel-level prediction of future frames in natural video sequences. The proposed model employs two separate encoding pathways, and learns to decompose motion and content without explicit constraints or separate training. Experimental results suggest that separate modeling of motion and content improves the quality of the pixel-level future prediction, and our model overall achieves state-of-the-art performance in predicting future frames in challenging real-world video datasets. + +# 8 ACKNOWLEDGEMENTS + +This work was supported in part by ONR N00014-13-1-0762, NSF CAREER IIS-1453651, gifts from the Bosch Research and Technology Center, and Sloan Research Fellowship. We also thank NVIDIA for donating K40c and TITAN X GPUs. We thank Ye Liu, Junhyuk Oh, Xinchen Yan, Lajanugen Logeswaran, Yuting Zhang, Sungryull Sohn, Kibok Lee, Rui Zhang, and other collaborators for helpful discussions. R. Villegas was partly supported by the Rackham Merit Fellowship. + +# REFERENCES + +C. Finn, I. J. Goodfellow, and S. Levine. Unsupervised learning for physical interaction through video prediction. In NIPS, 2016. +I. Goodfellow, J. Pouget-Abadie, M. Mirza, B. Xu, D. Warde-Farley, S. Ozair, A. Courville, and Y. Bengio. Generative adversarial nets. In NIPS. 2014. +L. Gorelick, M. Blank, E. Shechtman, M. Irani, and R. Basri. Actions as space-time shapes. Transactions on Pattern Analysis and Machine Intelligence, 29(12):2247–2253, December 2007. +R. Goroshin, M. Mathieu, and Y. LeCun. Learning to linearize under uncertainty. In NIPS. 2015. +K. He, X. Zhang, S. Ren, and J. Sun. Deep residual learning for image recognition. CoRR, abs/1512.03385, 2015. +G. Hinton and R. Salakhutdinov. Reducing the dimensionality of data with neural networks. Science, 2006. +M. Hoai and F. Torre. Max-margin early event detectors. IJCV, 2013. +A. Karpathy, G. Toderici, S. Shetty, T. Leung, R. Sukthankar, and L. Fei-Fei. Large-scale video classification with convolutional neural networks. In CVPR, 2014. +T. Lan, T. Chen, and S. Savarese. A hierarchical representation for future action prediction. In ECCV, 2014. +W. Lotter, G. Kreiman, and D. Cox. Unsupervised learning of visual structure using predictive generative networks. arXiv preprint arXiv:1504.08023, 2015. +M. Mathieu, C. Couprie, and Y. LeCun. Deep multi-scale video prediction beyond mean square error. arXiv preprint arXiv:1511.05440, 2015. +J. Oh, X. Guo, H. Lee, R. L. Lewis, and S. Singh. Action-conditional video prediction using deep networks in atari games. In NIPS. 2015. +V. Patraucean, A. Handa, and R. Cipolla. Spatio-temporal video autoencoder with differentiable memory. CoRR, abs/1511.06309, 2015. +L. C. Pickup, Z. Pan, D. Wei, Y. Shih, C. Zhang, A. Zisserman, B. Scholkopf, and W. T. Freeman. Seeing the arrow of time. In CVPR, 2014. +S. L. Pintea, J. C. van Gemert, and A. W. M. Smeulders. Dejavu: Motion prediction in static images. In European Conference on Computer Vision, 2014. +M. Ranzato, A. Szlam, J. Bruna, M. Mathieu, R. Collobert, and S. Chopra. Video (language) modeling: a baseline for generative models of natural videos. arXiv preprint arXiv:1412.6604, 2014. +M. S. Ryoo. Human activity prediction: Early recognition of ongoing activities from streaming videos. In ICCV, 2011. +C. Schuldt, I. Laptev, and B. Caputo. Recognizing human actions: A local svm approach. In ICPR, 2004. +X. Shi, Z. Chen, H. Wang, D.-Y. Yeung, W.-k. Wong, and W.-c. WOO. Convolutional lstm network: A machine learning approach for precipitation nowcasting. In Advances in Neural Information Processing Systems 28. 2015. +K. Simonyan and A. Zisserman. Two-stream convolutional networks for action recognition in videos. In NIPS. 2014. +K. Simonyan and A. Zisserman. Very deep convolutional networks for large-scale image recognition. In ICLR, 2015. +K. Soomro, A. R. Zamir, and M. Shah. UCF101: A dataset of 101 human actions classes from videos in the wild. arXiv preprint arXiv:1212.0402, 2012. +N. Srivastava, E. Mansimov, and R. Salakhudinov. Unsupervised learning of video representations using lstms. In ICML, 2015. +C. Vondrick, H. Pirsiavash, and A. Torralba. Anticipating the future by watching unlabeled video. arXiv preprint arXiv:1504.08023, 2015. +C. Vondrick, H. Pirsiavash, and A. Torralba. Generating videos with scene dynamics. In NIPS. 2016. +J. Walker, A. Gupta , and M. Hebert . Patch to the future: Unsupervised visual prediction. In CVPR, 2014. +J. Walker, C. Doersch, A. Gupta, and M. Hebert. An uncertain future: Forecasting from static images using variational autoencoders. CoRR, abs/1606.07873, 2016. +P. Weinzaepfel, J. Revaud, Z. Harchaoui, and C. Schmid. DeepFlow: Large displacement optical flow with deep matching. In ICCV, 2013. +T. Xue, J. Wu, K. L. Bouman, and W. T. Freeman. Visual dynamics: Probabilistic future frame synthesis via cross convolutional networks. NIPS, 2016. +J. Yuen and A. Torralba. A data-driven approach for event prediction. In ECCV, 2010. +M. D. Zeiler, G. W. Taylor, and R. Fergus. Adaptive deconvolutional networks for mid and high level feature learning. In ICCV, 2011. + +![](images/212232b8375c50f3bf84c011449ae12ba9ad5cbcc4377629b00f459634d92915.jpg) +Figure 5: Qualitative comparisons among MCnet and ConvLSTM and Mathieu et al. (2015). We display predicted frames (in every other frame) starting from the $5 ^ { \mathrm { t h } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. + +![](images/4fde2a6fb4a3a8455b1bf35d6b0fa255cff3e44e76f133c03192ab9870f66ffc.jpg) +Figure 6: Qualitative comparisons on KTH testset. We display predictions starting from the $1 2 ^ { \mathrm { t h } }$ frame, for every 3 timesteps. More clear motion prediction can be seen in the project website. + +![](images/6800b81e2a878255130308372182877efa0acdfddb1432a5bcbe476e792d1948.jpg) +Figure 7: Qualitative comparisons on KTH testset. We display predictions starting from the $1 2 ^ { \mathrm { t h } }$ frame, for every 3 timesteps. More clear motion prediction can be seen in the project website. + +![](images/b37e300e23885a8cd634505babbd4ac600c843953bdda6d0ba32e1626fa33bc3.jpg) +Figure 8: Qualitative comparisons on UCF-101. We display predictions (in every other frame) starting from the $5 ^ { \mathrm { t h } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. + +# A QUALITATIVE AND QUANTITATIVE COMPARISON WITH CONSIDERABLE CAMERA MOTION AND ANALYSIS + +In this section, we show frame prediction examples in which considerable camera motion occurs. We analyze the effects of camera motion on our best network and the corresponding baselines. First, we analyze qualitative examples on UCF101 (more complicated camera motion) and then on KTH (zoom-in and zoom-out camera effect). + +UCF101 Results. As seen in Figure 9 and Figure 10, our model handles foreground and camera motion for a few steps. We hypothesize that for the first few steps, motion signals from images are clear. However, as images are predicted, motion signals start to deteriorate due to prediction errors. When a considerable amount of camera motion is present in image sequences, the motion signals are very dense. As predictions evolve into the future, our motion encoder has to handle large motion deterioration due to prediction errors, which cause motion signals to get easily confused and lost quickly. + +![](images/ea4e8497760e52fc98cc5f2fef65366cecf21cfe2b5f0385f38df693c48679f0.jpg) +Figure 9: Qualitative comparisons on UCF-101. We display predictions (in every other frame) starting from the $5 ^ { \mathrm { { \bar { t h } } } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. + +![](images/6ea92fc6fccaea6583f80e4acfecf7972ffa083c78deb020c10d5554d3bcea6e.jpg) +Figure 10: Qualitative comparisons on UCF-101. We display predictions (in every other frame) starting from the $5 ^ { \mathrm { t h } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. + +KTH Results. We were unable to find videos with background motion in the KTH dataset, but we found videos where the camera is zooming in or out for the actions of boxing, handclapping, and handwaving. In Figure 11, we display qualitative for such videos. Our model is able to predict the zoom change in the cameras, while continuing the action motion. In comparison to the performance observed in UCF101, the background does not change much. Thus, the motion signals are well localized in the foreground motion (human), and do not get confused with the background and lost as quickly. + +![](images/b774886d63872a72949b555d4a6118dda26edef93f942d3472c9b1e63492c31c.jpg) +Figure 11: Qualitative comparisons on KTH testset. We display predictions starting from the $1 2 ^ { \mathrm { t h } }$ frame, in every 3 timesteps. More clear motion prediction can be seen in the project website. + +# B EXTENDED QUANTITATIVE EVALUATION + +In this section, we show additional quantitative comparison with a baseline based on copying the last observed frame through time for KTH and UCF101 datasets. Copying the last observed frame through time ensures perfect background prediction in videos where most of the motion comes from foreground (i.e. person performing an action). However, if such foreground composes a small part of the video, it will result in high prediction quality score regardless of the simple copying action. + +In Figure 12 below, we can see the quantitative comparison in the datasets. Copying the last observed frame through time does a reasonable job in both datasets, however, the impact is larger in UCF101. Videos in the KTH dataset comprise simple background with minimal camera motion, which allows our network to easily predict both foreground and background motion, resulting in better image quality scores. However, videos in UCF101 contain more complicated and diverse background which in combination with camera motion present a much greater challenge to video prediction networks. From the qualitative results in Section A and Figures 5, 8, 9, and 10, we can see that our network performs better in videos that contain isolated areas of motion compared to videos with dense motion. A simple copy/paste operation of the last observed frame, ensures very high prediction scores in videos where very small motion occur. The considerable score boost by videos with small motion causes the simple copy/paste baseline to outperform MCnet in the overall performance on UCF101. + +![](images/53131bfb315fd2d7f528ca69060dcd38d0306adf2ea8f9acccaecc3985dd5a5a.jpg) +Figure 12: Extended quantitative comparison including a baseline based on copying the last observed frame through time. + +# C UCF101 MOTION DISAMBIGUATION EXPERIMENTS + +Due to the observed bias from videos with small motion, we perform experiments by measuring the image quality scores on areas of motion. These experiments are similar to the ones performed in Mathieu et al. (2015). We compute DeepFlow optical flow (Weinzaepfel et al., 2013) between the previous and the current groundtruth image of interest, compute the magnitude, and normalize it to $[ 0 , 1 ]$ . The computed optical flow magnitude is used to mask the pixels where motion was observed. We set the pixels where the optical flow magnitude is less than 0.2, and leave all other pixels untouched in both the groundtruth and predicted images. Additionally, we separate the test videos by the average $\ell _ { 2 }$ -norm of time difference between target frames. We separate the test videos into deciles based of the computed average $\ell _ { 2 }$ -norms, and compute image quality on each decile. Intuitively, the $1 ^ { s t }$ decile contains videos with the least overall of motion (i.e. frames that show the smallest change over time), and the $1 0 ^ { t h }$ decile contains videos with the most overall motion (i.e. frames that show the largest change over time). + +As shown in Figure 13, when we only evaluate on pixels where rough motion is observed, MCnet reflects higher PSNR and SSIM, and clearly outperforms all the baselines in terms of SSIM. The SSIM results show that our network is able to predict a structure (i.e. textures, edges, etc) similar to the grountruth images within the areas of motion. The PSNR results, however, show that our method outperforms the simple copy/paste baseline for the first few steps, but then our method performs slightly worse. The discrepancies observed between PSNR and SSIM scores could be due to the fact that some of the predicted images may not reflect the exact pixel values of the groundtruth regardless of the structures being similar. SSIM scores are known to take into consideration features in the image that go beyond directly matching pixel values, reflecting more accurately how humans perceived image quality. + +![](images/7b7256d11c94469e3f55cce1fa8420becdea31e44b7d8b4debecd6d81fe465e0.jpg) +Figure 13: Extended quantitative comparison on UCF101 including a baseline based on copying the last observed frame through time using motion based pixel mask. + +Figures 15 and 14 show the evaluation by separating the test videos into deciles based on the average $\ell _ { 2 }$ -norm of time difference between target frames. From this evaluation, it is proven that the copy last frame baseline scores higher in videos where motion is the smallest. The first few deciles (videos with small motion) show that our network is not just copying the last observed frame through time, otherwise it would perform similarly to the copy last frame baseline. The last deciles (videos with large motion) show our network outperforming all the baselines, including the copy last frame baseline, effectively confirming that our network does predict motion similar to the motion observed in the video. + +![](images/a8f9af98c589df0a1d8ea53c7895c439de206318ef8afded135f5e1466559709.jpg) +Figure 14: Quantitative comparison on UCF101 using motion based pixel mask, and separating dataset by average $\ell _ { 2 }$ -norm of time difference between target frames. + +![](images/6843ab4ca418e0deb9d507f9fedac9be79b84d6f6a09275d9829d109f2c86d85.jpg) +Figure 15: Quantitative comparison on UCF101 using motion based pixel mask, and separating dataset by average $\ell _ { 2 }$ -norm of time difference between target frames. + +# D ADVERSARIAL TRAINING + +Mathieu et al. (2015) proposed an adversarial training for frame prediction. Inspired by Goodfellow et al. (2014), they proposed a training procedure that involves a generative model $G$ and a discriminative model $D$ . The two models compete in a two-player minimax game. The discriminator $D$ is optimized to correctly classify its inputs as either coming from the training data (real frame sequence) or from the generator $G$ (synthetic frame sequence). The generator $G$ is optimized to generate frames that fool the discriminator into believing that they come from the training data. At training time, $D$ takes the concatenation of the input frames that go into $G$ and the images produced by $G$ . The adversarial training objective is defined as follows: + +$$ +\underset { G } { \operatorname* { m i n } } \underset { D } { \operatorname* { m a x } } ~ \log D \left( \left[ { \bf x } _ { 1 : t } , { \bf x } _ { t + 1 : t + T } \right] \right) + \log \left( 1 - D \left( \left[ { \bf x } _ { 1 : t } , G \left( { \bf x } _ { 1 : t } \right) \right] \right) \right) , +$$ + +where $[ . , . ]$ denotes concatenation in the depth dimension, $\mathbf { x } _ { 1 : t }$ denotes the input frames to $G$ , $\mathbf { x } _ { t + 1 : t + T }$ are the target frames, and $G \left( \mathbf { x } _ { 1 : t } \right) = \hat { \mathbf { x } } _ { t + 1 : t + T }$ are the frames predicted by $G$ . In practice, we split the minimax objective into two separate, but equivalent, objectives: ${ \mathcal { L } } _ { \mathrm { G A N } }$ and ${ \mathcal { L } } _ { \mathrm { d i s c } }$ . During optimization, we minimize the adversarial objective alternating between ${ \mathcal { L } } _ { \mathrm { G A N } }$ and ${ \mathcal { L } } _ { \mathrm { d i s c } }$ . $\mathcal { L } _ { \mathrm { G A N } }$ is defined by + +$$ +\mathcal { L } _ { \mathrm { G A N } } = - \log D \left( \left[ \mathbf { x } _ { 1 : t } , G \left( \mathbf { x } _ { 1 : t } \right) \right] \right) , +$$ + +where we optimize the parameters of $G$ to minimize ${ \mathcal { L } } _ { \mathrm { G A N } }$ while the parameters of $D$ stay untouched. As a result, $G$ is optimized to generate images that make $D$ believe that they come from the training data. Thus, the generated images look sharper, and more realistic. ${ \mathcal { L } } _ { \mathrm { d i s c } }$ is defined by + +$$ +\mathcal { L } _ { \mathrm { d i s c } } = - \log D \left( \left[ \mathbf { x } _ { 1 : t } , \mathbf { x } _ { t + 1 : t + T } \right] \right) - \log \left( 1 - D \left( \left[ \mathbf { x } _ { 1 : t } , G \left( \mathbf { x } _ { 1 : t } \right) \right] \right) \right) , +$$ + +where we optimize the parameters of $D$ to minimize ${ \mathcal { L } } _ { \mathrm { d i s c } }$ , while the parameters of $G$ stay untouched. $D$ tells us whether its input came from the training data or the generator $G$ . Alternating between the two objectives, causes $G$ to generate very realistic images, and $D$ not being able to distinguish between generated frames and frames from the training data. \ No newline at end of file diff --git a/parse/train/rkEFLFqee/rkEFLFqee_content_list.json b/parse/train/rkEFLFqee/rkEFLFqee_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..3574e45fc85962920872be41c7404b21fcb35eae --- /dev/null +++ b/parse/train/rkEFLFqee/rkEFLFqee_content_list.json @@ -0,0 +1,1387 @@ +[ + { + "type": "text", + "text": "DECOMPOSING MOTION AND CONTENT FOR NATURAL VIDEO SEQUENCE PREDICTION ", + "text_level": 1, + "bbox": [ + 176, + 98, + 707, + 147 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Ruben Villegas1 Jimei Yang2 Seunghoon Hong3,∗ Xunyu Lin4,\\* Honglak Lee1,5 ", + "bbox": [ + 186, + 171, + 784, + 188 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1University of Michigan, Ann Arbor, USA \n2Adobe Research, San Jose, CA 95110 \n3POSTECH, Pohang, Korea \n4Beihang University, Beijing, China \n5Google Brain, Mountain View, CA 94043 ", + "bbox": [ + 184, + 189, + 465, + 261 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 297, + 544, + 313 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We propose a deep neural network for the prediction of future frames in natural video sequences. To effectively handle complex evolution of pixels in videos, we propose to decompose the motion and content, two key components generating dynamics in videos. Our model is built upon the Encoder-Decoder Convolutional Neural Network and Convolutional LSTM for pixel-level prediction, which independently capture the spatial layout of an image and the corresponding temporal dynamics. By independently modeling motion and content, predicting the next frame reduces to converting the extracted content features into the next frame content by the identified motion features, which simplifies the task of prediction. Our model is end-to-end trainable over multiple time steps, and naturally learns to decompose motion and content without separate training. We evaluate the proposed network architecture on human activity videos using KTH, Weizmann action, and UCF-101 datasets. We show state-of-the-art performance in comparison to recent approaches. To the best of our knowledge, this is the first end-to-end trainable network architecture with motion and content separation to model the spatio-temporal dynamics for pixel-level future prediction in natural videos. ", + "bbox": [ + 233, + 329, + 766, + 549 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 577, + 336, + 593 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Understanding videos has been one of the most important tasks in the field of computer vision. Compared to still images, the temporal component of videos provides much richer descriptions of the visual world, such as interaction between objects, human activities, and so on. Amongst the various tasks applicable on videos, the task of anticipating the future has recently received increased attention in the research community. Most prior works in this direction focus on predicting high-level semantics in a video such as action (Vondrick et al., 2015; Ryoo, 2011; Lan et al., 2014), event (Yuen and Torralba, 2010; Hoai and Torre, 2013) and motion (Pintea et al., 2014; Walker et al., 2014; Pickup et al., 2014; Walker et al., 2016). Forecasting semantics provides information about what will happen in a video, and is essential to automate decision making. However, the predicted semantics are often specific to a particular task and provide only a partial description of the future. Also, training such models often requires heavily labeled training data which leads to tremendous annotation costs especially with videos. ", + "bbox": [ + 174, + 603, + 825, + 770 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work, we aim to address the problem of prediction of future frames in natural video sequences. Pixel-level predictions provide dense and direct description of the visual world, and existing video recognition models can be adopted on top of the predicted frames to infer various semantics of the future. Spatio-temporal correlations in videos provide a self-supervision for frame prediction, which enables purely unsupervised training of a model by observing raw video frames. Unfortunately, estimating frames is an extremely challenging task; not only because of the inherent uncertainty of the future, but also various factors of variation in videos leading to complicated dynamics in raw pixel values. There have been a number of recent attempts on frame prediction (Srivastava et al., 2015; Mathieu et al., 2015; Oh et al., 2015; Goroshin et al., 2015; Lotter et al., 2015; Ranzato et al., 2014), which use a single encoder that needs to reason about all the different variations occurring in videos in order to make predictions of the future, or require extra information like foreground-background segmentation masks and static background (Vondrick et al., 2016). ", + "bbox": [ + 174, + 777, + 825, + 902 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 146 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We propose a Motion-Content Network (MCnet) for robust future frame prediction. Our intuition is to split the inputs for video prediction into two easily identifiable groups, motion and content, and independently capture each information stream with separate encoder pathways. In this architecture, the motion pathway encodes the local dynamics of spatial regions, while the content pathway encodes the spatial layout of the salient parts of an image. The prediction of the future frame is then achieved by transforming the content of the last observed frame given the identified dynamics up to the last observation. Somewhat surprisingly, we show that such a network is end-to-end trainable without individual path way supervision. Specifically, we show that an asymmetric architecture for the two pathways enables such decompositions without explicit supervision. The contributions of this paper are summarized below: ", + "bbox": [ + 174, + 152, + 825, + 291 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• We propose MCnet for the task of frame prediction, which separates the information streams (motion and content) into different encoder pathways. \n• The proposed network is end-to-end trainable and naturally learns to decompose motion and content without separate training, and reduces the task of frame prediction to transforming the last observed frame into the next by the observed motion. \n• We evaluate the proposed model on challenging real-world video datasets, and show that it outperforms previous approaches on frame prediction. ", + "bbox": [ + 215, + 304, + 825, + 415 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The rest of the paper is organized as follows. We briefly review related work in Section 2, and introduce an overview of the proposed algorithm in Section 3. The detailed configuration of the proposed network is described in Section 4. Section 5 describes training and inference procedure. Section 6 illustrates implementation details and experimental results on challenging benchmarks. ", + "bbox": [ + 174, + 426, + 825, + 483 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 500, + 341, + 516 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The problem of visual future prediction has received growing interests in the computer vision community. It has led to various tasks depending on the objective of future prediction, such as human activity (Vondrick et al., 2015; Ryoo, 2011; Lan et al., 2014), event (Yuen and Torralba, 2010; Hoai and Torre, 2013) and geometric path (Walker et al., 2014). Although previous work achieved reasonable success in specific tasks, they are often limited to estimating predefined semantics, and require fully-labeled training data. To alleviate this issue, approaches predicting representation of the future beyond semantic labels have been proposed. Walker et al. (2014) proposed a data-driven approach to predict the motion of a moving object, and coarse hallucination of the predicted motion. Vondrick et al. (2015) proposed a deep regression network to predict feature representations of the future frames. These approaches are supervised and provide coarse predictions of how the future will look like. Our work also focuses on unsupervised learning for prediction of the future, but to a more direct visual prediction task: frame prediction. ", + "bbox": [ + 174, + 529, + 825, + 694 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Compared to predicting semantics, pixel-level prediction has been less investigated due to the difficulties in modeling evolution of raw pixels over time. Fortunately, recent advances in deep learning provide a powerful tool for sequence modeling, and enable the creation of novel architectures for modeling complex sequential data. Ranzato et al. (2014) applied a recurrent neural network developed for language modeling to frame prediction by posing the task as classification of each image region to one of quantized patch dictionaries. Srivastava et al. (2015) applied a sequence-tosequence model to video prediction, and showed that Long Short-Term Memory (LSTM) is able to capture pixel dynamics. Oh et al. (2015) proposed an action-conditional encoder-decoder network to predict future frames in Atari games. In addition to the different choices of architecture, some other works addressed the importance of selecting right objective function: Lotter et al. (2015) used adversarial loss with combined CNN and LSTM architectures, and Mathieu et al. (2015) employed similar adversarial loss with additional regularization using a multi-scale encoder-decoder network. Finn et al. (2016) constructed a network that predicts transformations on the input pixels for next frame prediction. Patraucean et al. (2015) proposed a network that by explicitly predicting optical flow features is able to predict the next frame in a video. Vondrick et al. (2016) proposed a generative adversarial network for video which, by generating a background-foreground mask, is able to generate realistic-looking video sequences. However, none of the previously mentioned approaches exploit spatial and temporal information separately in an unsupervised fashion. In terms of the way data is observed, the closest work to ours is Xue et al. (2016). The differences are (1) Our model is deterministic and theirs is probabilistic, (2) our motion encoder is based on convolutional LSTM (Shi et al., 2015) which is a more natural module to model long-term dynamics, (3) our content encoder observes a single scale input and theirs observes many scales, and (4) we directly generate image pixels values, which is a more complicated task. We aim to exploit the existing spatio-temporal correlations in videos by decomposing the motion and content in our network architecture. ", + "bbox": [ + 174, + 702, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 215 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To the best of our knowledge, the idea of separating motion and content has not been investigated in the task of unsupervised deterministic frame prediction. The proposed architecture shares similarities to the two-stream CNN (Simonyan and Zisserman, 2014), which is designed for action recognition to jointly exploit the information from frames and their temporal dynamics. However, in contrast to their network we aim to learn features for temporal dynamics directly from the raw pixels, and we use the identified features from the motion in combination with spatial features to make pixel-level predictions of the future. ", + "bbox": [ + 174, + 222, + 825, + 319 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 ALGORITHM OVERVIEW ", + "text_level": 1, + "bbox": [ + 176, + 335, + 406, + 352 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we formally define the task of frame prediction and the role of each component in the proposed architecture. Let ${ \\bf x } _ { t } \\in \\mathrm { R } ^ { w \\times h \\times c }$ denote the $t$ -th frame in an input video $\\mathbf { x }$ , where $w , h$ , and $c$ denote width, height, and number of channels, respectively. The objective of frame prediction is to generate the future frame $\\hat { \\mathbf { x } } _ { t + 1 }$ given the input frames $\\mathbf { x } _ { 1 : t }$ . ", + "bbox": [ + 174, + 362, + 825, + 419 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "At the $t { \\cdot }$ -th time step, our network observes a history of previous consecutive frames up to frame $t$ and generates the prediction of the next frame $\\hat { \\mathbf { x } } _ { t + 1 }$ as follows: ", + "bbox": [ + 174, + 425, + 823, + 453 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "• Motion Encoder recurrently takes an image difference input between frame $\\mathbf { x } _ { t }$ and $\\mathbf { x } _ { t - 1 }$ starting from $t = 2$ , and produces the hidden representation $\\mathbf { d } _ { t }$ encoding the temporal dynamics of the scene components (Section 4.1). \nContent Encoder takes the last observed frame $\\mathbf { x } _ { t }$ as an input, and outputs the hidden representation $\\mathbf { s } _ { t }$ that encodes the spatial layout of the scene (Section 4.2). \nMulti-Scale Motion-Content Residual takes the computed features, from both the motion and content encoders, at every scale right before pooling and computes residuals $\\mathbf { r } _ { t }$ (He et al., 2015) to aid the information loss caused by pooling in the encoding phase (Section 4.3). \nCombination Layers and Decoder takes the outputs from both encoder pathways and residual connections, $\\mathbf { d } _ { t }$ , $\\mathbf { s } _ { t }$ , and $\\mathbf { r } _ { t }$ , and combines them to produce a pixel-level prediction of the next frame $\\hat { \\mathbf { x } } _ { t + 1 }$ (Section 4.4). ", + "bbox": [ + 215, + 465, + 825, + 633 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The overall architecture of the proposed algorithm is described in Figure 1. The prediction of multiple frames, $\\hat { \\mathbf { x } } _ { t + 1 : t + T }$ , can be achieved by recursively performing the above procedures over $T$ time steps (Section 5). Each component in the proposed architecture is described in the following section. ", + "bbox": [ + 176, + 647, + 825, + 689 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "4 ARCHITECTURE ", + "text_level": 1, + "bbox": [ + 176, + 705, + 339, + 722 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "This section describes the detailed configuration of the proposed architecture, including the two encoder pathways, multi-scale residual connections, combination layers, and decoder. ", + "bbox": [ + 176, + 731, + 823, + 761 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "4.1 MOTION ENCODER ", + "text_level": 1, + "bbox": [ + 176, + 776, + 348, + 791 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The motion encoder captures the temporal dynamics of the scene’s components by recurrently observing subsequent difference images computed from $\\mathbf { x } _ { t - 1 }$ and $\\mathbf { x } _ { t }$ , and outputs motion features by ", + "bbox": [ + 171, + 803, + 823, + 832 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/fb7d2cbf62af5dfa423edd7c7b7a9dbea540f4946f1483031a4a84f27b956d25.jpg", + "text": "$$\n\\left[ \\mathbf { d } _ { t } , \\mathbf { c } _ { t } \\right] = f ^ { \\mathrm { d y n } } \\left( \\mathbf { x } _ { t } - \\mathbf { x } _ { t - 1 } , \\mathbf { d } _ { t - 1 } , \\mathbf { c } _ { t - 1 } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 364, + 838, + 632, + 857 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where ${ \\bf x } _ { t } - { \\bf x } _ { t - 1 }$ denotes element-wise subtraction between frames at time $t$ and $t - 1$ , $\\mathbf { d } _ { t } \\in \\mathbb { R } ^ { w ^ { \\prime } \\times h ^ { \\prime } \\times c ^ { \\prime } }$ is the feature tensor encoding the motion across the observed difference image inputs, and $\\mathbf { c } _ { t } ~ \\in$ $\\mathbb { R } ^ { w ^ { \\prime } \\times h ^ { \\prime } \\times c ^ { \\prime } }$ is a memory cell that retains information of the dynamics observed through time. $f ^ { \\mathrm { d y n } }$ is implemented in a fully-convolutional way to allow our model to identify local dynamics of frames rather than complicated global motion. For this, we use an encoder CNN with a Convolutional LSTM (Shi et al., 2015) layer on top. ", + "bbox": [ + 174, + 866, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/b14e2d7ec424a851a2e17a83ef8e07c7d7ba00e0ed72fbf2fe41c30066abfd0b.jpg", + "image_caption": [ + "Figure 1: Overall architecture of the proposed network. (a) illustrates MCnet without the MotionContent Residual skip connections, and (b) illustrates MCnet with such connections. Our network observes a history of image differences through the motion encoder and last observed image through the content encoder. Subsequently, our network proceeds to compute motion-content features and communicates them to the decoder for the prediction of the next frame. " + ], + "image_footnote": [], + "bbox": [ + 173, + 92, + 826, + 300 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 385, + 823, + 414 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.2 CONTENT ENCODER ", + "text_level": 1, + "bbox": [ + 174, + 430, + 356, + 444 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The content encoder extracts important spatial features from a single frame, such as the spatial layout 64 64 64 64of the scene and salient objects in a video. Specifically, it takes the last observed frame $\\mathbf { x } _ { t }$ as an input, and produces content features by ", + "bbox": [ + 173, + 455, + 825, + 498 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/0f78a874984818340b118191ae7f43ee6b7c99948a03513e8d86154562eeb6cf.jpg", + "text": "$$\n{ \\bf s } _ { t } = f ^ { \\mathrm { c o n t } } \\left( { \\bf x } _ { t } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 444, + 497, + 552, + 515 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\mathbf { s } _ { t } \\in \\mathbb { R } ^ { w ^ { \\prime } \\times h ^ { \\prime } \\times c ^ { \\prime } }$ is the feature encoding the spatial content of the last observed frame, and $f ^ { \\mathrm { c o n t } }$ is implemented by a Convolutional Neural Network (CNN) that specializes on extracting features from single frame. ", + "bbox": [ + 174, + 518, + 825, + 563 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "It is important to note that our model employs an asymmetric architecture for the motion and content encoder. The content encoder takes the last observed frame, which keeps the most critical clue to reconstruct spatial layout of near future, but has no information about dynamics. On the other hand, the motion encoder takes a history of previous image differences, which are less informative about the future spatial layout compared to the last observed frame, yet contain important spatio-temporal variations occurring over time. This asymmetric architecture encourages encoders to exploit each of two pieces of critical information to predict the future content and motion individually, and enables the model to learn motion and content decomposition naturally without any supervision. ", + "bbox": [ + 173, + 569, + 825, + 681 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.3 MULTI-SCALE MOTION-CONTENT RESIDUAL ", + "text_level": 1, + "bbox": [ + 174, + 696, + 529, + 712 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To prevent information loss after the pooling operations in our motion and content encoders, we use residual connections (He et al., 2015). The residual connections in our network communicate motion-content features at every scale into the decoder layers after unpooling operations. The residual feature at layer $l$ is computed by ", + "bbox": [ + 173, + 723, + 825, + 780 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/e6aac619074488c0f47a4410dff5205a65b5da18757002c59e85dbde4a90c1fa.jpg", + "text": "$$\n\\mathbf { r } _ { t } ^ { l } = f ^ { \\mathrm { r e s } } \\left( \\left[ \\mathbf { s } _ { t } ^ { l } , \\mathbf { d } _ { t } ^ { l } \\right] \\right) ^ { l } ,\n$$", + "text_format": "latex", + "bbox": [ + 426, + 779, + 568, + 801 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\mathbf { r } _ { t } ^ { l }$ is the residual output at layer $l$ , $\\left[ \\mathbf { s } _ { t } ^ { l } , \\mathbf { d } _ { t } ^ { l } \\right]$ is the concatenation of the motion and content features along the depth dimension at layer $l$ of their respective encoders, $f ^ { \\mathrm { r e s } } \\left( . \\right) ^ { l }$ the residual function at layer $l$ implemented as consecutive convolution layers and rectification with a final linear layer. ", + "bbox": [ + 174, + 804, + 825, + 853 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.4 COMBINATION LAYERS AND DECODER ", + "text_level": 1, + "bbox": [ + 174, + 869, + 483, + 883 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The outputs from the two encoder pathways, $\\mathbf { d } _ { t }$ and $\\mathbf { s } _ { t }$ , encode a high-level representation of motion and content, respectively. Given these representations, the objective of the decoder is to generate a ", + "bbox": [ + 174, + 895, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "pixel-level prediction of the next frame $\\hat { \\mathbf { x } } _ { t + 1 } \\in \\mathbb { R } ^ { w \\times h \\times c }$ . To this end, it first combines the motion and content back into a unified representation by ", + "bbox": [ + 169, + 102, + 823, + 132 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/9452c93c66184500b6f7d885051fa3e84e8096a0facfb85df5a26c5c6e0272da.jpg", + "text": "$$\n\\mathbf { f } _ { t } = g ^ { \\mathrm { c o m b } } \\left( \\left[ \\mathbf { d } _ { t } , \\mathbf { s } _ { t } \\right] \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 428, + 137, + 568, + 156 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $[ \\mathbf { d } _ { t } , \\mathbf { s } _ { t } ] \\in \\mathbb { R } ^ { w ^ { \\prime } \\times h ^ { \\prime } \\times 2 c ^ { \\prime } }$ denotes the concatenation of the higher-level motion and content features in the depth dimension, and $\\mathbf { f } _ { t } \\in \\mathbb { R } ^ { w ^ { \\prime } \\times h ^ { \\prime } \\times c ^ { \\prime } }$ denotes the combined high-level representation of motion and content. $g ^ { \\mathrm { c o m b } }$ is implemented by a CNN with bottleneck layers (Hinton and Salakhutdinov, 2006); it first projects both $\\mathbf { d } _ { t }$ and $\\mathbf { s } _ { t }$ into a lower-dimensional embedding space, and then puts it back to the original size to construct the combined feature $\\mathbf { f } _ { t }$ . Intuitively, $\\mathbf { f } _ { t }$ can be viewed as the content feature of the next time step, $\\mathbf { s } _ { t + 1 }$ , which is generated by transforming $\\mathbf { s } _ { t }$ using the observed dynamics encoded in $\\mathbf { d } _ { t }$ . Then our decoder places $\\mathbf { f } _ { t }$ back into the original pixel space by ", + "bbox": [ + 173, + 161, + 825, + 263 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/4e6cc4d8b7cb7ca0d244b1a946ccb42810455c77310da8eddcabb22ff83fb7e3.jpg", + "text": "$$\n\\begin{array} { r } { \\hat { \\mathbf { x } } _ { t + 1 } = g ^ { \\mathrm { d e c } } \\left( \\mathbf { f } _ { t } , \\mathbf { r } _ { t } \\right) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 429, + 270, + 566, + 287 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\mathbf { r } _ { t }$ is a list containing the residual connections from every layer of the motion and content encoders before pooling sent to every layer of the decoder after unpooling. We employ the deconvolution network (Zeiler et al., 2011) for our decoder network $g ^ { \\mathrm { d e c } }$ , which is composed of multiple successive operations of deconvolution, rectification and unpooling with the addition of the motioncontent residual connections after each unpooling operation. The output layer is passed through a tanh (.) activation function. Unpooling with fixed switches are used to upsample the intermediate activation maps. ", + "bbox": [ + 173, + 292, + 825, + 391 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5 INFERENCE AND TRAINING ", + "text_level": 1, + "bbox": [ + 176, + 406, + 434, + 422 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Section 4 describes the procedures for single frame prediction, while this section presents the extension of our algorithm for the prediction of multiple time steps. ", + "bbox": [ + 174, + 433, + 821, + 462 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5.1 MULTI-STEP PREDICTION", + "text_level": 1, + "bbox": [ + 174, + 478, + 392, + 492 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Given an input video, our network observes the first $n$ frames as image difference between frame $\\mathbf { x } _ { t }$ and $\\mathbf { x } _ { t - 1 }$ , starting from $t = 2$ up to $t = n$ , to encode initial temporal dynamics through the motion encoder. The last frame ${ \\bf x } _ { n }$ is given to the content encoder to be transformed into the first prediction $\\hat { \\mathbf { x } } _ { t + 1 }$ by the identified motion features. ", + "bbox": [ + 173, + 503, + 825, + 560 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For each time step $t \\in [ n + 1 , n + T ]$ , where $T$ is the desired number of prediction steps, our network takes the difference image between the first prediction $\\hat { \\mathbf { x } } _ { t + 1 }$ and the previous image $\\mathbf { x } _ { t }$ , and the first prediction $\\hat { \\mathbf { x } } _ { t + 1 }$ itself to predict the next frame $\\hat { \\mathbf { x } } _ { t + 2 }$ , and so forth. ", + "bbox": [ + 176, + 565, + 823, + 609 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5.2 TRAINING OBJECTIVE ", + "text_level": 1, + "bbox": [ + 174, + 626, + 370, + 640 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To train our network, we use an objective fMathieu et al. (2015). Given the training data $D = \\{ \\mathbf { x } _ { 1 , . . . , T } ^ { ( i ) } \\} _ { i = 1 } ^ { N }$ of different sub-losses similar to, our model is trained to minimize ", + "bbox": [ + 173, + 651, + 825, + 698 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/6b04196267d72b8b50571e46c4690002e8ad16366b561378d931f0270ddf86de.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } = \\alpha \\mathcal { L } _ { \\mathrm { i m g } } + \\beta \\mathcal { L } _ { \\mathrm { G A N } } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 424, + 696, + 573, + 714 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\alpha$ and $\\beta$ are hyper-parameters that control the effect of each sub-loss during optimization. $\\mathcal { L } _ { \\mathrm { i m g } }$ is the loss in image space from Mathieu et al. (2015) defined by ", + "bbox": [ + 171, + 715, + 823, + 744 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d5c996897667a64bc84238d0afb47db049d31e113a2bb4814a1baf460da66399.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { i m g } } = \\mathcal { L } _ { p } \\left( \\mathbf { x } _ { t + k } , \\hat { \\mathbf { x } } _ { t + k } \\right) + \\mathcal { L } _ { g d l } \\left( \\mathbf { x } _ { t + k } , \\hat { \\mathbf { x } } _ { t + k } \\right) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 343, + 750, + 651, + 767 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/507a83f4257b80f4e5b9feab7dd1f38b5bea717f299e69d590eff400b10927f8.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle \\mathcal { L } _ { p } \\left( { \\bf y } , { \\bf z } \\right) = \\sum _ { k = 1 } ^ { T } \\left| \\left| { \\bf y } - { \\bf z } \\right| \\right| _ { p } ^ { p } } , \\ ~ } \\\\ { { \\displaystyle \\mathcal { L } _ { g d l } \\left( { \\bf y } , { \\bf z } \\right) = \\sum _ { i , j } ^ { h , w } \\left| \\left( \\left| { \\bf y } _ { i , j } - { \\bf y } _ { i - 1 , j } \\right| - \\left| { \\bf z } _ { i , j } - { \\bf z } _ { i - 1 , j } \\right| \\right) \\right| ^ { \\lambda } } } \\\\ { { \\displaystyle ~ + \\left| \\left( \\left| { \\bf y } _ { i , j - 1 } - { \\bf y } _ { i , j } \\right| - \\left| { \\bf z } _ { i , j - 1 } - { \\bf z } _ { i , j } \\right| \\right) \\right| ^ { \\lambda } } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 334, + 779, + 707, + 892 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Here, $\\mathbf { x } _ { t + k }$ and $\\hat { \\mathbf { x } } _ { t + k }$ are the target and predicted frames, respectively, and $p$ and $\\lambda$ are hyperparameters for ${ \\mathcal { L } } _ { p }$ and $\\mathcal { L } _ { g d l }$ , respectively. Intuitively, ${ \\mathcal { L } } _ { p }$ guides our network to match the average pixel values directly, while $\\mathcal { L } _ { g d l }$ guides our network to match the gradients of such pixel values. Overall, $\\mathcal { L } _ { \\mathrm { i m g } }$ guides our network to learn parameters towards generating the correct average sequence given the input. Training to generate average sequences, however, results in somewhat blurry generations which is the reason we use an additional sub-loss. ${ \\mathcal { L } } _ { \\mathrm { G A N } }$ is the generator loss in adversarial training to allow our model to predict realistic looking frames and it is defined by ", + "bbox": [ + 173, + 895, + 823, + 925 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 174 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/28b777543b9fcb8cb4b486e7663c8b8ac9c0da87007162da259652d54b8e9dc9.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { G A N } } = - \\log D \\left( \\left[ \\mathbf { x } _ { 1 : t } , G \\left( \\mathbf { x } _ { 1 : t } \\right) \\right] \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 382, + 175, + 614, + 193 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\mathbf { x } _ { 1 : t }$ is the concatenation of the input images, $\\mathbf { x } _ { t + 1 : t + T }$ is the concatenation of the ground-truth future images, $G \\left( \\mathbf { x } _ { 1 : t } \\right) = \\hat { \\mathbf { x } } _ { t + 1 : t + T }$ is the concatenation of all predicted images along the depth dimension, and $D \\left( . \\right)$ is the discriminator in adversarial training. The discriminative loss in adversarial training is defined by ", + "bbox": [ + 174, + 194, + 825, + 250 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/4e186619db297edf68b54cbc6c8ffe04dbd08cdf30a7d332e5c0b2c8e2e43209.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { d i s c } } = - \\log D \\left( \\left[ \\mathbf { x } _ { 1 : t } , \\mathbf { x } _ { t + 1 : t + T } \\right] \\right) - \\log \\left( 1 - D \\left( \\left[ \\mathbf { x } _ { 1 : t } , G \\left( \\mathbf { x } _ { 1 : t } \\right) \\right] \\right) \\right) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 269, + 251, + 714, + 268 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "${ \\mathcal { L } } _ { \\mathrm { G A N } }$ , in addition to $\\mathcal { L } _ { \\mathrm { i m g } }$ , allows our network to not only generate the target sequence, but also simultaneously enforce realism in the images through visual sharpness that fools the human eye. Note that our model uses its predictions as input for the next time-step during the training, which enables the gradients to flow through time and makes the network robust for error propagation during prediction. For more a detailed description about adversarial training, please refer to Appendix D. ", + "bbox": [ + 174, + 268, + 825, + 339 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "6 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 354, + 326, + 369 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In this section, we present experiments using our network for video generation. We first evaluate our network, MCnet, on the KTH (Schuldt et al., 2004) and Weizmann action (Gorelick et al., 2007) datasets, and compare against a baseline convolutional LSTM (ConvLSTM) (Shi et al., 2015). We then proceed to evaluate on the more challenging UCF-101 (Soomro et al., 2012) dataset, in which we compare against the same ConvLSTM baseline and also the current state-of-the-art method by Mathieu et al. (2015). For all our experiments, we use $\\alpha = 1$ , $\\lambda = 1$ , and $p = 2$ in the loss functions. ", + "bbox": [ + 174, + 380, + 825, + 477 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In addition to the results in this section, we also provide more qualitative comparisons in the supplementary material and in the videos on the project website: https://sites.google. com/a/umich.edu/rubenevillegas/iclr2017. ", + "bbox": [ + 174, + 484, + 826, + 526 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Architectures. The content encoder of MCnet is built with the same architecture as VGG16 (Simonyan and Zisserman, 2015) up to the third pooling layer. The motion encoder of MCnet is also similar to VGG16 up to the third pooling layer, except that we replace its consecutive 3x3 convolutions with single 5x5, 5x5, and $7 \\mathrm { x } 7 $ convolutions in each layer. The combination layers are composed of 3 consecutive 3x3 convolutions (256, 128, and 256 channels in each layer). The multi-scale residuals are composed of 2 consecutive 3x3 convolutions. The decoder is the mirrored architecture of the content encoder where we perform unpooling followed by deconvolution. For the baseline ConvLSTM, we use the same architecture as the motion encoder, residual connections, and decoder, except we increase the number of channels in the encoder in order to have an overall comparable number of parameters with MCnet. ", + "bbox": [ + 174, + 540, + 826, + 679 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "6.1 KTH AND WEIZMANN ACTION DATASETS ", + "text_level": 1, + "bbox": [ + 173, + 695, + 503, + 710 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Experimental settings. The KTH human action dataset (Schuldt et al., 2004) contains 6 categories of periodic motions on a simple background: running, jogging, walking, boxing, hand-clapping and hand-waiving. We use person 1-16 for training and 17-25 for testing, and also resize frames to $1 2 8 \\mathrm { x } 1 2 8$ pixels. We train our network and baseline by observing 10 frames and predicting 10 frames into the future on the KTH dataset. We set $\\beta = 0 . 0 2$ for training. We also select the walking, running, one-hand waving, and two-hands waving sequences from the Weizmann action dataset (Gorelick et al., 2007) for testing the networks’ generalizability. ", + "bbox": [ + 173, + 720, + 825, + 819 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "For all the experiments, we test the networks on predicting 20 time steps into the future. As for evaluation, we use the same SSIM and PSNR metrics as in Mathieu et al. (2015). The evaluation on KTH was performed on sub-clips within each video in the testset. We sample sub-clips every 3 frames for running and jogging, and sample sub-clips every 20 frames (skipping the frames we have already predicted) for walking, boxing, hand-clapping, and hand-waving. Sub-clips for running, jogging, and walking were manually trimmed to ensure humans are always present in the frames. The evaluation on Weizmann was performed on all sub-clips in the selected sequences. ", + "bbox": [ + 173, + 827, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/a4613d092003dc38238ba869a61c25db2807fc56496c74f12bda75bcd4e41fad.jpg", + "image_caption": [ + "Figure 2: Quantitative comparison between MCnet and ConvLSTM baseline with and without multiscale residual connections (indicated by $\" +$ RES\"). Given 10 input frames, the models predict 20 frames recursively, one by one. Left column: evaluation on KTH dataset (Schuldt et al., 2004). Right colum: evaluation on Weizmann (Gorelick et al., 2007) dataset. " + ], + "image_footnote": [], + "bbox": [ + 178, + 79, + 818, + 395 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results. Figure 2 summarizes the quantitative comparisons among our MCnet, ConvLSTM baseline and their residual variations. In the KTH test set, our network outperforms the ConvLSTM baseline by a small margin. However, when we test the residual versions of MCnet and ConvLSTM on the dataset (Gorelick et al., 2007) with similar motions, we can see that our network can generalize well to the unseen contents by showing clear improvements, especially in long-term prediction. One reason for this result is that the test and training partitions of the KTH dataset have simple and similar image contents so that ConvLSTM can memorize the average background and human appearance to make reasonable predictions. However, when tested on unseen data, ConvLSTM has to internally take care of both scene dynamics and image contents in a mingled representation, which gives it a hard time for generalization. In contrast, the reason our network outperforms the ConvLSTM baseline on unseen data is that our network focuses on identifying general motion features and applying them to a learned content representation. ", + "bbox": [ + 174, + 494, + 825, + 661 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Figure 3 presents qualitative results of multi-step prediction by our network and ConvLSTM. As expected, prediction results by our full architecture preserves human shapes more accurately than the baseline. It is worth noticing that our network produces very sharp prediction over long-term time steps; it shows that MCnet is able to capture periodic motion cycles, which reduces the uncertainty of future prediction significantly. More qualitative comparisons are shown in the supplementary material and the project website. ", + "bbox": [ + 173, + 667, + 825, + 751 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.2 UCF-101 DATASET ", + "text_level": 1, + "bbox": [ + 174, + 791, + 348, + 805 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Experimental settings. This section presents results on the challenging real-world videos in the UCF-101 (Soomro et al., 2012) dataset. Having collected from YouTube, the dataset contains 101 realistic human actions taken in a wild and exhibits various challenges, such as background clutter, occlusion, and complicated motion. We employed the same network architecture as in the KTH dataset, but resized frames to $2 4 0 \\mathrm { x } 3 2 0$ pixels, and trained the network to observe 4 frames and predict a single frame. We set $\\beta = 0 . 0 0 1$ for training. We also trained our convolutional LSTM baseline in the same way. Following the same protocol as Mathieu et al. (2015) for data pre-processing and evaluation metrics on full images, all networks were trained on Sports-1M (Karpathy et al., 2014) dataset and tested on UCF-101 unless otherwise stated.1 ", + "bbox": [ + 174, + 825, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/57c95513a034932d176e82012cb29ebd08dad0466bd953290918a2998722efb6.jpg", + "image_caption": [ + "Figure 3: Qualitative comparison between our MCNet model and ConvLSTM. We display predictions starting from the $1 2 ^ { \\mathrm { t h } }$ frame, in every 3 timesteps. The first 3 rows correspond to KTH dataset for the action of jogging and the last 3 rows correspond to Weizmann dataset for the action of walking. " + ], + "image_footnote": [], + "bbox": [ + 186, + 108, + 821, + 564 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 619, + 823, + 647 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Results. Figure 4 shows the quantitative comparisons between our network trained for single-stepprediction and Mathieu et al. (2015). We can clearly see the advantage of our network over the baseline. The separation of motion and contents in two encoder pathways allows our network to identify key motion and content features, which are then fed into the decoder to yield predictions of higher quality compared to the baseline.2 In other words, our network only moves what shows motion in the past, and leaves the rest untouched. We also trained a residual version of MCnet on UCF-101, indicated by “MCnet $^ +$ RES UCF101\", to compare how well our model generalizes when trained and tested on the same or different dataset(s). To our surprise, when tested with UCF-101, the MCnet trained on Sports-1M (MCnet $^ +$ RES) roughly matches the performance of the MCnet trained on UCF-101 (MCnet $^ +$ RES UCF101), which suggests that our model learns effective representations which can generalize to new datasets. Figure 5 presents qualitative comparisons between frames generated by our network and Mathieu et al. (2015). Since the ConvLSTM and Mathieu et al. (2015) lack explicit motion and content modules, they lose sense of the dynamics in the video and therefore the contents become distorted quickly. More qualitative comparisons are shown in the supplementary material and the project website. ", + "bbox": [ + 174, + 662, + 825, + 871 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/0e476f9ab07ef0f449a3c49aa1c132980617cfa38f63b273c4a345355d3fa9d8.jpg", + "image_caption": [ + "Figure 4: Quantitative comparison between our model, convolutional LSTM Shi et al. (2015), and Mathieu et al. (2015). Given 4 input frames, the models predict 8 frames recursively, one by one. " + ], + "image_footnote": [], + "bbox": [ + 178, + 104, + 810, + 252 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 325, + 318, + 342 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We proposed a motion-content network for pixel-level prediction of future frames in natural video sequences. The proposed model employs two separate encoding pathways, and learns to decompose motion and content without explicit constraints or separate training. Experimental results suggest that separate modeling of motion and content improves the quality of the pixel-level future prediction, and our model overall achieves state-of-the-art performance in predicting future frames in challenging real-world video datasets. ", + "bbox": [ + 174, + 352, + 825, + 435 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "8 ACKNOWLEDGEMENTS ", + "text_level": 1, + "bbox": [ + 176, + 452, + 398, + 468 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This work was supported in part by ONR N00014-13-1-0762, NSF CAREER IIS-1453651, gifts from the Bosch Research and Technology Center, and Sloan Research Fellowship. We also thank NVIDIA for donating K40c and TITAN X GPUs. We thank Ye Liu, Junhyuk Oh, Xinchen Yan, Lajanugen Logeswaran, Yuting Zhang, Sungryull Sohn, Kibok Lee, Rui Zhang, and other collaborators for helpful discussions. R. Villegas was partly supported by the Rackham Merit Fellowship. ", + "bbox": [ + 173, + 478, + 825, + 549 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 569, + 285, + 583 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "C. Finn, I. J. Goodfellow, and S. Levine. 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Mathieu, R. Collobert, and S. Chopra. Video (language) modeling: a baseline for generative models of natural videos. arXiv preprint arXiv:1412.6604, 2014. \nM. S. Ryoo. Human activity prediction: Early recognition of ongoing activities from streaming videos. In ICCV, 2011. \nC. Schuldt, I. Laptev, and B. Caputo. Recognizing human actions: A local svm approach. In ICPR, 2004. \nX. Shi, Z. Chen, H. Wang, D.-Y. Yeung, W.-k. Wong, and W.-c. WOO. Convolutional lstm network: A machine learning approach for precipitation nowcasting. In Advances in Neural Information Processing Systems 28. 2015. \nK. Simonyan and A. Zisserman. Two-stream convolutional networks for action recognition in videos. In NIPS. 2014. \nK. Simonyan and A. Zisserman. Very deep convolutional networks for large-scale image recognition. In ICLR, 2015. \nK. Soomro, A. R. Zamir, and M. Shah. UCF101: A dataset of 101 human actions classes from videos in the wild. arXiv preprint arXiv:1212.0402, 2012. \nN. Srivastava, E. Mansimov, and R. Salakhudinov. Unsupervised learning of video representations using lstms. In ICML, 2015. \nC. Vondrick, H. Pirsiavash, and A. Torralba. Anticipating the future by watching unlabeled video. arXiv preprint arXiv:1504.08023, 2015. \nC. Vondrick, H. Pirsiavash, and A. Torralba. Generating videos with scene dynamics. In NIPS. 2016. \nJ. Walker, A. Gupta , and M. Hebert . Patch to the future: Unsupervised visual prediction. In CVPR, 2014. \nJ. Walker, C. Doersch, A. Gupta, and M. Hebert. An uncertain future: Forecasting from static images using variational autoencoders. CoRR, abs/1606.07873, 2016. \nP. Weinzaepfel, J. Revaud, Z. Harchaoui, and C. Schmid. DeepFlow: Large displacement optical flow with deep matching. In ICCV, 2013. \nT. Xue, J. Wu, K. L. Bouman, and W. T. Freeman. Visual dynamics: Probabilistic future frame synthesis via cross convolutional networks. NIPS, 2016. \nJ. Yuen and A. Torralba. A data-driven approach for event prediction. In ECCV, 2010. \nM. D. Zeiler, G. W. Taylor, and R. Fergus. Adaptive deconvolutional networks for mid and high level feature learning. In ICCV, 2011. ", + "bbox": [ + 171, + 593, + 828, + 924 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/212232b8375c50f3bf84c011449ae12ba9ad5cbcc4377629b00f459634d92915.jpg", + "image_caption": [ + "Figure 5: Qualitative comparisons among MCnet and ConvLSTM and Mathieu et al. (2015). We display predicted frames (in every other frame) starting from the $5 ^ { \\mathrm { t h } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. " + ], + "image_footnote": [], + "bbox": [ + 178, + 98, + 816, + 824 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "", + "bbox": [ + 169, + 42, + 828, + 890 + ], + "page_idx": 10 + }, + { + "type": "image", + "img_path": "images/4fde2a6fb4a3a8455b1bf35d6b0fa255cff3e44e76f133c03192ab9870f66ffc.jpg", + "image_caption": [ + "Figure 6: Qualitative comparisons on KTH testset. We display predictions starting from the $1 2 ^ { \\mathrm { t h } }$ frame, for every 3 timesteps. More clear motion prediction can be seen in the project website. " + ], + "image_footnote": [], + "bbox": [ + 174, + 80, + 825, + 877 + ], + "page_idx": 11 + }, + { + "type": "image", + "img_path": "images/6800b81e2a878255130308372182877efa0acdfddb1432a5bcbe476e792d1948.jpg", + "image_caption": [ + "Figure 7: Qualitative comparisons on KTH testset. We display predictions starting from the $1 2 ^ { \\mathrm { t h } }$ frame, for every 3 timesteps. More clear motion prediction can be seen in the project website. " + ], + "image_footnote": [], + "bbox": [ + 186, + 88, + 823, + 566 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/b37e300e23885a8cd634505babbd4ac600c843953bdda6d0ba32e1626fa33bc3.jpg", + "image_caption": [ + "Figure 8: Qualitative comparisons on UCF-101. We display predictions (in every other frame) starting from the $5 ^ { \\mathrm { t h } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. " + ], + "image_footnote": [], + "bbox": [ + 163, + 94, + 800, + 825 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A QUALITATIVE AND QUANTITATIVE COMPARISON WITH CONSIDERABLE CAMERA MOTION AND ANALYSIS ", + "text_level": 1, + "bbox": [ + 173, + 103, + 795, + 136 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In this section, we show frame prediction examples in which considerable camera motion occurs. We analyze the effects of camera motion on our best network and the corresponding baselines. First, we analyze qualitative examples on UCF101 (more complicated camera motion) and then on KTH (zoom-in and zoom-out camera effect). ", + "bbox": [ + 174, + 151, + 825, + 207 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "UCF101 Results. As seen in Figure 9 and Figure 10, our model handles foreground and camera motion for a few steps. We hypothesize that for the first few steps, motion signals from images are clear. However, as images are predicted, motion signals start to deteriorate due to prediction errors. When a considerable amount of camera motion is present in image sequences, the motion signals are very dense. As predictions evolve into the future, our motion encoder has to handle large motion deterioration due to prediction errors, which cause motion signals to get easily confused and lost quickly. ", + "bbox": [ + 173, + 222, + 826, + 320 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/ea4e8497760e52fc98cc5f2fef65366cecf21cfe2b5f0385f38df693c48679f0.jpg", + "image_caption": [ + "Figure 9: Qualitative comparisons on UCF-101. We display predictions (in every other frame) starting from the $5 ^ { \\mathrm { { \\bar { t h } } } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. " + ], + "image_footnote": [], + "bbox": [ + 165, + 367, + 802, + 731 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/6ea92fc6fccaea6583f80e4acfecf7972ffa083c78deb020c10d5554d3bcea6e.jpg", + "image_caption": [ + "Figure 10: Qualitative comparisons on UCF-101. We display predictions (in every other frame) starting from the $5 ^ { \\mathrm { t h } }$ frame. The green arrows denote the top-30 closest optical flow vectors within image patches between MCnet and ground-truth. More clear motion prediction can be seen in the project website. " + ], + "image_footnote": [], + "bbox": [ + 176, + 95, + 818, + 828 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "KTH Results. We were unable to find videos with background motion in the KTH dataset, but we found videos where the camera is zooming in or out for the actions of boxing, handclapping, and handwaving. In Figure 11, we display qualitative for such videos. Our model is able to predict the zoom change in the cameras, while continuing the action motion. In comparison to the performance observed in UCF101, the background does not change much. Thus, the motion signals are well localized in the foreground motion (human), and do not get confused with the background and lost as quickly. ", + "bbox": [ + 173, + 103, + 825, + 202 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/b774886d63872a72949b555d4a6118dda26edef93f942d3472c9b1e63492c31c.jpg", + "image_caption": [ + "Figure 11: Qualitative comparisons on KTH testset. We display predictions starting from the $1 2 ^ { \\mathrm { t h } }$ frame, in every 3 timesteps. More clear motion prediction can be seen in the project website. " + ], + "image_footnote": [], + "bbox": [ + 186, + 233, + 825, + 714 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "B EXTENDED QUANTITATIVE EVALUATION ", + "text_level": 1, + "bbox": [ + 174, + 103, + 544, + 117 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In this section, we show additional quantitative comparison with a baseline based on copying the last observed frame through time for KTH and UCF101 datasets. Copying the last observed frame through time ensures perfect background prediction in videos where most of the motion comes from foreground (i.e. person performing an action). However, if such foreground composes a small part of the video, it will result in high prediction quality score regardless of the simple copying action. ", + "bbox": [ + 174, + 133, + 825, + 204 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In Figure 12 below, we can see the quantitative comparison in the datasets. Copying the last observed frame through time does a reasonable job in both datasets, however, the impact is larger in UCF101. Videos in the KTH dataset comprise simple background with minimal camera motion, which allows our network to easily predict both foreground and background motion, resulting in better image quality scores. However, videos in UCF101 contain more complicated and diverse background which in combination with camera motion present a much greater challenge to video prediction networks. From the qualitative results in Section A and Figures 5, 8, 9, and 10, we can see that our network performs better in videos that contain isolated areas of motion compared to videos with dense motion. A simple copy/paste operation of the last observed frame, ensures very high prediction scores in videos where very small motion occur. The considerable score boost by videos with small motion causes the simple copy/paste baseline to outperform MCnet in the overall performance on UCF101. ", + "bbox": [ + 173, + 210, + 826, + 363 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/53131bfb315fd2d7f528ca69060dcd38d0306adf2ea8f9acccaecc3985dd5a5a.jpg", + "image_caption": [ + "Figure 12: Extended quantitative comparison including a baseline based on copying the last observed frame through time. " + ], + "image_footnote": [], + "bbox": [ + 176, + 380, + 818, + 696 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "C UCF101 MOTION DISAMBIGUATION EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 102, + 640, + 118 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Due to the observed bias from videos with small motion, we perform experiments by measuring the image quality scores on areas of motion. These experiments are similar to the ones performed in Mathieu et al. (2015). We compute DeepFlow optical flow (Weinzaepfel et al., 2013) between the previous and the current groundtruth image of interest, compute the magnitude, and normalize it to $[ 0 , 1 ]$ . The computed optical flow magnitude is used to mask the pixels where motion was observed. We set the pixels where the optical flow magnitude is less than 0.2, and leave all other pixels untouched in both the groundtruth and predicted images. Additionally, we separate the test videos by the average $\\ell _ { 2 }$ -norm of time difference between target frames. We separate the test videos into deciles based of the computed average $\\ell _ { 2 }$ -norms, and compute image quality on each decile. Intuitively, the $1 ^ { s t }$ decile contains videos with the least overall of motion (i.e. frames that show the smallest change over time), and the $1 0 ^ { t h }$ decile contains videos with the most overall motion (i.e. frames that show the largest change over time). ", + "bbox": [ + 174, + 133, + 825, + 300 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "As shown in Figure 13, when we only evaluate on pixels where rough motion is observed, MCnet reflects higher PSNR and SSIM, and clearly outperforms all the baselines in terms of SSIM. The SSIM results show that our network is able to predict a structure (i.e. textures, edges, etc) similar to the grountruth images within the areas of motion. The PSNR results, however, show that our method outperforms the simple copy/paste baseline for the first few steps, but then our method performs slightly worse. The discrepancies observed between PSNR and SSIM scores could be due to the fact that some of the predicted images may not reflect the exact pixel values of the groundtruth regardless of the structures being similar. SSIM scores are known to take into consideration features in the image that go beyond directly matching pixel values, reflecting more accurately how humans perceived image quality. ", + "bbox": [ + 173, + 308, + 825, + 446 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/7b7256d11c94469e3f55cce1fa8420becdea31e44b7d8b4debecd6d81fe465e0.jpg", + "image_caption": [ + "Figure 13: Extended quantitative comparison on UCF101 including a baseline based on copying the last observed frame through time using motion based pixel mask. " + ], + "image_footnote": [], + "bbox": [ + 178, + 470, + 818, + 617 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Figures 15 and 14 show the evaluation by separating the test videos into deciles based on the average $\\ell _ { 2 }$ -norm of time difference between target frames. From this evaluation, it is proven that the copy last frame baseline scores higher in videos where motion is the smallest. The first few deciles (videos with small motion) show that our network is not just copying the last observed frame through time, otherwise it would perform similarly to the copy last frame baseline. The last deciles (videos with large motion) show our network outperforming all the baselines, including the copy last frame baseline, effectively confirming that our network does predict motion similar to the motion observed in the video. ", + "bbox": [ + 173, + 683, + 825, + 794 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/a8f9af98c589df0a1d8ea53c7895c439de206318ef8afded135f5e1466559709.jpg", + "image_caption": [ + "Figure 14: Quantitative comparison on UCF101 using motion based pixel mask, and separating dataset by average $\\ell _ { 2 }$ -norm of time difference between target frames. " + ], + "image_footnote": [], + "bbox": [ + 178, + 87, + 818, + 895 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/6843ab4ca418e0deb9d507f9fedac9be79b84d6f6a09275d9829d109f2c86d85.jpg", + "image_caption": [ + "Figure 15: Quantitative comparison on UCF101 using motion based pixel mask, and separating dataset by average $\\ell _ { 2 }$ -norm of time difference between target frames. " + ], + "image_footnote": [], + "bbox": [ + 178, + 83, + 818, + 892 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "D ADVERSARIAL TRAINING ", + "text_level": 1, + "bbox": [ + 176, + 102, + 423, + 118 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Mathieu et al. (2015) proposed an adversarial training for frame prediction. Inspired by Goodfellow et al. (2014), they proposed a training procedure that involves a generative model $G$ and a discriminative model $D$ . The two models compete in a two-player minimax game. The discriminator $D$ is optimized to correctly classify its inputs as either coming from the training data (real frame sequence) or from the generator $G$ (synthetic frame sequence). The generator $G$ is optimized to generate frames that fool the discriminator into believing that they come from the training data. At training time, $D$ takes the concatenation of the input frames that go into $G$ and the images produced by $G$ . The adversarial training objective is defined as follows: ", + "bbox": [ + 173, + 132, + 826, + 244 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/0f2e14e45d2c6811aeddaa6c2281ba36c76c82207099b8639bbd235de553bb9f.jpg", + "text": "$$\n\\underset { G } { \\operatorname* { m i n } } \\underset { D } { \\operatorname* { m a x } } ~ \\log D \\left( \\left[ { \\bf x } _ { 1 : t } , { \\bf x } _ { t + 1 : t + T } \\right] \\right) + \\log \\left( 1 - D \\left( \\left[ { \\bf x } _ { 1 : t } , G \\left( { \\bf x } _ { 1 : t } \\right) \\right] \\right) \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 274, + 251, + 720, + 275 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "where $[ . , . ]$ denotes concatenation in the depth dimension, $\\mathbf { x } _ { 1 : t }$ denotes the input frames to $G$ , $\\mathbf { x } _ { t + 1 : t + T }$ are the target frames, and $G \\left( \\mathbf { x } _ { 1 : t } \\right) = \\hat { \\mathbf { x } } _ { t + 1 : t + T }$ are the frames predicted by $G$ . In practice, we split the minimax objective into two separate, but equivalent, objectives: ${ \\mathcal { L } } _ { \\mathrm { G A N } }$ and ${ \\mathcal { L } } _ { \\mathrm { d i s c } }$ . During optimization, we minimize the adversarial objective alternating between ${ \\mathcal { L } } _ { \\mathrm { G A N } }$ and ${ \\mathcal { L } } _ { \\mathrm { d i s c } }$ . $\\mathcal { L } _ { \\mathrm { G A N } }$ is defined by ", + "bbox": [ + 173, + 281, + 826, + 338 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/998c3b1bd14bfb5cad2a32cccb7f5c82609ab848e2c7f9103b0ed062407f1016.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { G A N } } = - \\log D \\left( \\left[ \\mathbf { x } _ { 1 : t } , G \\left( \\mathbf { x } _ { 1 : t } \\right) \\right] \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 382, + 344, + 614, + 362 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "where we optimize the parameters of $G$ to minimize ${ \\mathcal { L } } _ { \\mathrm { G A N } }$ while the parameters of $D$ stay untouched. As a result, $G$ is optimized to generate images that make $D$ believe that they come from the training data. Thus, the generated images look sharper, and more realistic. ${ \\mathcal { L } } _ { \\mathrm { d i s c } }$ is defined by ", + "bbox": [ + 174, + 368, + 825, + 411 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/11ced4d199a3681ea9035f4fd917584af412794ce84bb91fbf8442d3041c5f1a.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { d i s c } } = - \\log D \\left( \\left[ \\mathbf { x } _ { 1 : t } , \\mathbf { x } _ { t + 1 : t + T } \\right] \\right) - \\log \\left( 1 - D \\left( \\left[ \\mathbf { x } _ { 1 : t } , G \\left( \\mathbf { x } _ { 1 : t } \\right) \\right] \\right) \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 276, + 417, + 720, + 435 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "where we optimize the parameters of $D$ to minimize ${ \\mathcal { L } } _ { \\mathrm { d i s c } }$ , while the parameters of $G$ stay untouched. $D$ tells us whether its input came from the training data or the generator $G$ . Alternating between the two objectives, causes $G$ to generate very realistic images, and $D$ not being able to distinguish between generated frames and frames from the training data. 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Spatio-temporal correlations in videos provide a self-supervision for frame prediction, which", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 659, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 674 + ], + "score": 1.0, + "content": "enables purely unsupervised training of a model by observing raw video frames. Unfortunately,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 671, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 506, + 684 + ], + "score": 1.0, + "content": "estimating frames is an extremely challenging task; not only because of the inherent uncertainty of", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 681, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 506, + 694 + ], + "score": 1.0, + "content": "the future, but also various factors of variation in videos leading to complicated dynamics in raw pixel", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 692, + 506, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 506, + 705 + ], + "score": 1.0, + "content": "values. 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Our intuition is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "to split the inputs for video prediction into two easily identifiable groups, motion and content, and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 142, + 507, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 507, + 157 + ], + "score": 1.0, + "content": "independently capture each information stream with separate encoder pathways. 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The prediction of the future frame is then achieved", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "by transforming the content of the last observed frame given the identified dynamics up to the last", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "observation. Somewhat surprisingly, we show that such a network is end-to-end trainable without", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "individual path way supervision. Specifically, we show that an asymmetric architecture for the two", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "pathways enables such decompositions without explicit supervision. The contributions of this paper", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 201, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 201, + 231 + ], + "score": 1.0, + "content": "are summarized below:", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 132, + 241, + 505, + 329 + ], + "lines": [ + { + "bbox": [ + 132, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 132, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "• We propose MCnet for the task of frame prediction, which separates the information streams", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 252, + 359, + 265 + ], + "spans": [ + { + "bbox": [ + 141, + 252, + 359, + 265 + ], + "score": 1.0, + "content": "(motion and content) into different encoder pathways.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 135, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 135, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "• The proposed network is end-to-end trainable and naturally learns to decompose motion and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 140, + 278, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 140, + 278, + 506, + 293 + ], + "score": 1.0, + "content": "content without separate training, and reduces the task of frame prediction to transforming", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 290, + 388, + 303 + ], + "spans": [ + { + "bbox": [ + 141, + 290, + 388, + 303 + ], + "score": 1.0, + "content": "the last observed frame into the next by the observed motion.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 136, + 306, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 136, + 306, + 506, + 320 + ], + "score": 1.0, + "content": "• We evaluate the proposed model on challenging real-world video datasets, and show that it", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 318, + 361, + 330 + ], + "spans": [ + { + "bbox": [ + 142, + 318, + 361, + 330 + ], + "score": 1.0, + "content": "outperforms previous approaches on frame prediction.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 505, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "score": 1.0, + "content": "The rest of the paper is organized as follows. We briefly review related work in Section 2, and", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 362 + ], + "score": 1.0, + "content": "introduce an overview of the proposed algorithm in Section 3. The detailed configuration of the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 361, + 507, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 507, + 373 + ], + "score": 1.0, + "content": "proposed network is described in Section 4. Section 5 describes training and inference procedure.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 372, + 495, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 495, + 384 + ], + "score": 1.0, + "content": "Section 6 illustrates implementation details and experimental results on challenging benchmarks.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "title", + "bbox": [ + 108, + 396, + 209, + 409 + ], + "lines": [ + { + "bbox": [ + 104, + 395, + 210, + 411 + ], + "spans": [ + { + "bbox": [ + 104, + 395, + 210, + 411 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 419, + 505, + 550 + ], + "lines": [ + { + "bbox": [ + 106, + 419, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 505, + 431 + ], + "score": 1.0, + "content": "The problem of visual future prediction has received growing interests in the computer vision", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 430, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 506, + 442 + ], + "score": 1.0, + "content": "community. It has led to various tasks depending on the objective of future prediction, such as", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "score": 1.0, + "content": "human activity (Vondrick et al., 2015; Ryoo, 2011; Lan et al., 2014), event (Yuen and Torralba, 2010;", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 452, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 506, + 464 + ], + "score": 1.0, + "content": "Hoai and Torre, 2013) and geometric path (Walker et al., 2014). Although previous work achieved", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "score": 1.0, + "content": "reasonable success in specific tasks, they are often limited to estimating predefined semantics, and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "score": 1.0, + "content": "require fully-labeled training data. To alleviate this issue, approaches predicting representation of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "the future beyond semantic labels have been proposed. Walker et al. (2014) proposed a data-driven", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 495, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 508 + ], + "score": 1.0, + "content": "approach to predict the motion of a moving object, and coarse hallucination of the predicted motion.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "Vondrick et al. (2015) proposed a deep regression network to predict feature representations of the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "score": 1.0, + "content": "future frames. These approaches are supervised and provide coarse predictions of how the future will", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "look like. Our work also focuses on unsupervised learning for prediction of the future, but to a more", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 539, + 293, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 293, + 552 + ], + "score": 1.0, + "content": "direct visual prediction task: frame prediction.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 556, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 555, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 506, + 569 + ], + "score": 1.0, + "content": "Compared to predicting semantics, pixel-level prediction has been less investigated due to the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 566, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 581 + ], + "score": 1.0, + "content": "difficulties in modeling evolution of raw pixels over time. Fortunately, recent advances in deep", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "learning provide a powerful tool for sequence modeling, and enable the creation of novel architectures", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "score": 1.0, + "content": "for modeling complex sequential data. Ranzato et al. (2014) applied a recurrent neural network", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "developed for language modeling to frame prediction by posing the task as classification of each", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 611, + 507, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 507, + 624 + ], + "score": 1.0, + "content": "image region to one of quantized patch dictionaries. Srivastava et al. (2015) applied a sequence-to-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "sequence model to video prediction, and showed that Long Short-Term Memory (LSTM) is able to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 633, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 645 + ], + "score": 1.0, + "content": "capture pixel dynamics. Oh et al. (2015) proposed an action-conditional encoder-decoder network", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 644, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 656 + ], + "score": 1.0, + "content": "to predict future frames in Atari games. In addition to the different choices of architecture, some", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "other works addressed the importance of selecting right objective function: Lotter et al. (2015) used", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 666, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 677 + ], + "score": 1.0, + "content": "adversarial loss with combined CNN and LSTM architectures, and Mathieu et al. (2015) employed", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 676, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 689 + ], + "score": 1.0, + "content": "similar adversarial loss with additional regularization using a multi-scale encoder-decoder network.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "Finn et al. (2016) constructed a network that predicts transformations on the input pixels for next", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "frame prediction. Patraucean et al. (2015) proposed a network that by explicitly predicting optical", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "flow features is able to predict the next frame in a video. Vondrick et al. 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Our intuition is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "to split the inputs for video prediction into two easily identifiable groups, motion and content, and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 142, + 507, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 507, + 157 + ], + "score": 1.0, + "content": "independently capture each information stream with separate encoder pathways. 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The prediction of the future frame is then achieved", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "by transforming the content of the last observed frame given the identified dynamics up to the last", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "observation. Somewhat surprisingly, we show that such a network is end-to-end trainable without", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "individual path way supervision. Specifically, we show that an asymmetric architecture for the two", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "pathways enables such decompositions without explicit supervision. The contributions of this paper", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 201, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 201, + 231 + ], + "score": 1.0, + "content": "are summarized below:", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 122, + 507, + 231 + ] + }, + { + "type": "list", + "bbox": [ + 132, + 241, + 505, + 329 + ], + "lines": [ + { + "bbox": [ + 132, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 132, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "• We propose MCnet for the task of frame prediction, which separates the information streams", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 252, + 359, + 265 + ], + "spans": [ + { + "bbox": [ + 141, + 252, + 359, + 265 + ], + "score": 1.0, + "content": "(motion and content) into different encoder pathways.", + "type": "text" + } + ], + "index": 14, + "is_list_end_line": true + }, + { + "bbox": [ + 135, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 135, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "• The proposed network is end-to-end trainable and naturally learns to decompose motion and", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 140, + 278, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 140, + 278, + 506, + 293 + ], + "score": 1.0, + "content": "content without separate training, and reduces the task of frame prediction to transforming", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 290, + 388, + 303 + ], + "spans": [ + { + "bbox": [ + 141, + 290, + 388, + 303 + ], + "score": 1.0, + "content": "the last observed frame into the next by the observed motion.", + "type": "text" + } + ], + "index": 17, + "is_list_end_line": true + }, + { + "bbox": [ + 136, + 306, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 136, + 306, + 506, + 320 + ], + "score": 1.0, + "content": "• We evaluate the proposed model on challenging real-world video datasets, and show that it", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 318, + 361, + 330 + ], + "spans": [ + { + "bbox": [ + 142, + 318, + 361, + 330 + ], + "score": 1.0, + "content": "outperforms previous approaches on frame prediction.", + "type": "text" + } + ], + "index": 19, + "is_list_end_line": true + } + ], + "index": 16, + "bbox_fs": [ + 132, + 241, + 506, + 330 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 505, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 506, + 351 + ], + "score": 1.0, + "content": "The rest of the paper is organized as follows. We briefly review related work in Section 2, and", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 362 + ], + "score": 1.0, + "content": "introduce an overview of the proposed algorithm in Section 3. The detailed configuration of the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 361, + 507, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 507, + 373 + ], + "score": 1.0, + "content": "proposed network is described in Section 4. Section 5 describes training and inference procedure.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 372, + 495, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 495, + 384 + ], + "score": 1.0, + "content": "Section 6 illustrates implementation details and experimental results on challenging benchmarks.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 338, + 507, + 384 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 396, + 209, + 409 + ], + "lines": [ + { + "bbox": [ + 104, + 395, + 210, + 411 + ], + "spans": [ + { + "bbox": [ + 104, + 395, + 210, + 411 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 419, + 505, + 550 + ], + "lines": [ + { + "bbox": [ + 106, + 419, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 505, + 431 + ], + "score": 1.0, + "content": "The problem of visual future prediction has received growing interests in the computer vision", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 430, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 506, + 442 + ], + "score": 1.0, + "content": "community. It has led to various tasks depending on the objective of future prediction, such as", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 506, + 453 + ], + "score": 1.0, + "content": "human activity (Vondrick et al., 2015; Ryoo, 2011; Lan et al., 2014), event (Yuen and Torralba, 2010;", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 452, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 506, + 464 + ], + "score": 1.0, + "content": "Hoai and Torre, 2013) and geometric path (Walker et al., 2014). Although previous work achieved", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 505, + 475 + ], + "score": 1.0, + "content": "reasonable success in specific tasks, they are often limited to estimating predefined semantics, and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 487 + ], + "score": 1.0, + "content": "require fully-labeled training data. To alleviate this issue, approaches predicting representation of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "the future beyond semantic labels have been proposed. Walker et al. (2014) proposed a data-driven", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 495, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 508 + ], + "score": 1.0, + "content": "approach to predict the motion of a moving object, and coarse hallucination of the predicted motion.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "Vondrick et al. (2015) proposed a deep regression network to predict feature representations of the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 530 + ], + "score": 1.0, + "content": "future frames. These approaches are supervised and provide coarse predictions of how the future will", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "look like. Our work also focuses on unsupervised learning for prediction of the future, but to a more", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 539, + 293, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 293, + 552 + ], + "score": 1.0, + "content": "direct visual prediction task: frame prediction.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 419, + 506, + 552 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 556, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 555, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 506, + 569 + ], + "score": 1.0, + "content": "Compared to predicting semantics, pixel-level prediction has been less investigated due to the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 566, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 505, + 581 + ], + "score": 1.0, + "content": "difficulties in modeling evolution of raw pixels over time. Fortunately, recent advances in deep", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "learning provide a powerful tool for sequence modeling, and enable the creation of novel architectures", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "score": 1.0, + "content": "for modeling complex sequential data. Ranzato et al. (2014) applied a recurrent neural network", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "developed for language modeling to frame prediction by posing the task as classification of each", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 611, + 507, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 507, + 624 + ], + "score": 1.0, + "content": "image region to one of quantized patch dictionaries. Srivastava et al. (2015) applied a sequence-to-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "sequence model to video prediction, and showed that Long Short-Term Memory (LSTM) is able to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 633, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 645 + ], + "score": 1.0, + "content": "capture pixel dynamics. Oh et al. (2015) proposed an action-conditional encoder-decoder network", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 644, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 656 + ], + "score": 1.0, + "content": "to predict future frames in Atari games. In addition to the different choices of architecture, some", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "other works addressed the importance of selecting right objective function: Lotter et al. (2015) used", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 666, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 677 + ], + "score": 1.0, + "content": "adversarial loss with combined CNN and LSTM architectures, and Mathieu et al. (2015) employed", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 676, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 689 + ], + "score": 1.0, + "content": "similar adversarial loss with additional regularization using a multi-scale encoder-decoder network.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "Finn et al. (2016) constructed a network that predicts transformations on the input pixels for next", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "frame prediction. Patraucean et al. (2015) proposed a network that by explicitly predicting optical", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "flow features is able to predict the next frame in a video. Vondrick et al. (2016) proposed a generative", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "adversarial network for video which, by generating a background-foreground mask, is able to generate", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "realistic-looking video sequences. However, none of the previously mentioned approaches exploit", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "spatial and temporal information separately in an unsupervised fashion. In terms of the way data", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "score": 1.0, + "content": "is observed, the closest work to ours is Xue et al. (2016). The differences are (1) Our model is", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "deterministic and theirs is probabilistic, (2) our motion encoder is based on convolutional LSTM (Shi", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 127, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 505, + 138 + ], + "score": 1.0, + "content": "et al., 2015) which is a more natural module to model long-term dynamics, (3) our content encoder", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 505, + 151 + ], + "score": 1.0, + "content": "observes a single scale input and theirs observes many scales, and (4) we directly generate image", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "score": 1.0, + "content": "pixels values, which is a more complicated task. We aim to exploit the existing spatio-temporal", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 159, + 470, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 470, + 172 + ], + "score": 1.0, + "content": "correlations in videos by decomposing the motion and content in our network architecture.", + "type": "text", + "cross_page": true + } + ], + "index": 7 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 555, + 507, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 171 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "realistic-looking video sequences. However, none of the previously mentioned approaches exploit", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "spatial and temporal information separately in an unsupervised fashion. In terms of the way data", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "score": 1.0, + "content": "is observed, the closest work to ours is Xue et al. (2016). The differences are (1) Our model is", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "deterministic and theirs is probabilistic, (2) our motion encoder is based on convolutional LSTM (Shi", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 127, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 505, + 138 + ], + "score": 1.0, + "content": "et al., 2015) which is a more natural module to model long-term dynamics, (3) our content encoder", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 505, + 151 + ], + "score": 1.0, + "content": "observes a single scale input and theirs observes many scales, and (4) we directly generate image", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 506, + 162 + ], + "score": 1.0, + "content": "pixels values, which is a more complicated task. We aim to exploit the existing spatio-temporal", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 159, + 470, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 470, + 172 + ], + "score": 1.0, + "content": "correlations in videos by decomposing the motion and content in our network architecture.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 176, + 505, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 175, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 506, + 189 + ], + "score": 1.0, + "content": "To the best of our knowledge, the idea of separating motion and content has not been investigated in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "the task of unsupervised deterministic frame prediction. 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For more a detailed description about adversarial training, please refer to Appendix D.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "title", + "bbox": [ + 107, + 281, + 200, + 293 + ], + "lines": [ + { + "bbox": [ + 105, + 280, + 201, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 201, + 295 + ], + "score": 1.0, + "content": "6 EXPERIMENTS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 301, + 505, + 378 + ], + "lines": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "In this section, we present experiments using our network for video generation. We first evaluate", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 313, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 506, + 324 + ], + "score": 1.0, + "content": "our network, MCnet, on the KTH (Schuldt et al., 2004) and Weizmann action (Gorelick et al., 2007)", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "datasets, and compare against a baseline convolutional LSTM (ConvLSTM) (Shi et al., 2015). We", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "then proceed to evaluate on the more challenging UCF-101 (Soomro et al., 2012) dataset, in which", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "score": 1.0, + "content": "we compare against the same ConvLSTM baseline and also the current state-of-the-art method", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 348, + 369 + ], + "score": 1.0, + "content": "by Mathieu et al. (2015). For all our experiments, we use", + "type": "text" + }, + { + "bbox": [ + 349, + 357, + 377, + 366 + ], + "score": 0.86, + "content": "\\alpha = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 356, + 381, + 369 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 381, + 356, + 409, + 366 + ], + "score": 0.83, + "content": "\\lambda = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 409, + 356, + 431, + 369 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 431, + 356, + 459, + 367 + ], + "score": 0.91, + "content": "p = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "in the loss", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 366, + 149, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 149, + 379 + ], + "score": 1.0, + "content": "functions.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 506, + 417 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "In addition to the results in this section, we also provide more qualitative comparisons in the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 395, + 507, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 507, + 407 + ], + "score": 1.0, + "content": "supplementary material and in the videos on the project website: https://sites.google.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 107, + 406, + 345, + 417 + ], + "spans": [ + { + "bbox": [ + 107, + 406, + 345, + 417 + ], + "score": 1.0, + "content": "com/a/umich.edu/rubenevillegas/iclr2017.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 506, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 429, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 506, + 441 + ], + "score": 1.0, + "content": "Architectures. The content encoder of MCnet is built with the same architecture as VGG16 (Si-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 439, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 506, + 452 + ], + "score": 1.0, + "content": "monyan and Zisserman, 2015) up to the third pooling layer. The motion encoder of MCnet is also", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 451, + 506, + 463 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 506, + 463 + ], + "score": 1.0, + "content": "similar to VGG16 up to the third pooling layer, except that we replace its consecutive 3x3 convolu-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 229, + 474 + ], + "score": 1.0, + "content": "tions with single 5x5, 5x5, and", + "type": "text" + }, + { + "bbox": [ + 230, + 462, + 246, + 472 + ], + "score": 0.51, + "content": "7 \\mathrm { x } 7 ", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 461, + 506, + 474 + ], + "score": 1.0, + "content": "convolutions in each layer. The combination layers are composed", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 473, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 484 + ], + "score": 1.0, + "content": "of 3 consecutive 3x3 convolutions (256, 128, and 256 channels in each layer). The multi-scale", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "residuals are composed of 2 consecutive 3x3 convolutions. The decoder is the mirrored architecture", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "score": 1.0, + "content": "of the content encoder where we perform unpooling followed by deconvolution. 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The KTH human action dataset (Schuldt et al., 2004) contains 6 categories", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 582, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 597 + ], + "score": 1.0, + "content": "of periodic motions on a simple background: running, jogging, walking, boxing, hand-clapping", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "and hand-waiving. We use person 1-16 for training and 17-25 for testing, and also resize frames to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 142, + 615 + ], + "score": 0.5, + "content": "1 2 8 \\mathrm { x } 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "pixels. We train our network and baseline by observing 10 frames and predicting 10 frames", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 614, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 614, + 273, + 630 + ], + "score": 1.0, + "content": "into the future on the KTH dataset. We set", + "type": "text" + }, + { + "bbox": [ + 273, + 616, + 312, + 627 + ], + "score": 0.91, + "content": "\\beta = 0 . 0 2", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 614, + 506, + 630 + ], + "score": 1.0, + "content": "for training. 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As for", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "evaluation, we use the same SSIM and PSNR metrics as in Mathieu et al. (2015). The evaluation", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 676, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 691 + ], + "score": 1.0, + "content": "on KTH was performed on sub-clips within each video in the testset. 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We", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "then proceed to evaluate on the more challenging UCF-101 (Soomro et al., 2012) dataset, in which", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 357 + ], + "score": 1.0, + "content": "we compare against the same ConvLSTM baseline and also the current state-of-the-art method", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 348, + 369 + ], + "score": 1.0, + "content": "by Mathieu et al. (2015). For all our experiments, we use", + "type": "text" + }, + { + "bbox": [ + 349, + 357, + 377, + 366 + ], + "score": 0.86, + "content": "\\alpha = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 356, + 381, + 369 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 381, + 356, + 409, + 366 + ], + "score": 0.83, + "content": "\\lambda = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 409, + 356, + 431, + 369 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 431, + 356, + 459, + 367 + ], + "score": 0.91, + "content": "p = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "in the loss", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 366, + 149, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 149, + 379 + ], + "score": 1.0, + "content": "functions.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 302, + 506, + 379 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 506, + 417 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 396 + ], + "score": 1.0, + "content": "In addition to the results in this section, we also provide more qualitative comparisons in the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 395, + 507, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 507, + 407 + ], + "score": 1.0, + "content": "supplementary material and in the videos on the project website: https://sites.google.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 107, + 406, + 345, + 417 + ], + "spans": [ + { + "bbox": [ + 107, + 406, + 345, + 417 + ], + "score": 1.0, + "content": "com/a/umich.edu/rubenevillegas/iclr2017.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 383, + 507, + 417 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 428, + 506, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 429, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 506, + 441 + ], + "score": 1.0, + "content": "Architectures. 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The combination layers are composed", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 473, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 473, + 505, + 484 + ], + "score": 1.0, + "content": "of 3 consecutive 3x3 convolutions (256, 128, and 256 channels in each layer). The multi-scale", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "residuals are composed of 2 consecutive 3x3 convolutions. The decoder is the mirrored architecture", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 505, + 507 + ], + "score": 1.0, + "content": "of the content encoder where we perform unpooling followed by deconvolution. For the baseline", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 505, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 506, + 518 + ], + "score": 1.0, + "content": "ConvLSTM, we use the same architecture as the motion encoder, residual connections, and decoder,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "score": 1.0, + "content": "except we increase the number of channels in the encoder in order to have an overall comparable", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 528, + 249, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 249, + 540 + ], + "score": 1.0, + "content": "number of parameters with MCnet.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 429, + 506, + 540 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 551, + 308, + 563 + ], + "lines": [ + { + "bbox": [ + 106, + 551, + 309, + 564 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 309, + 564 + ], + "score": 1.0, + "content": "6.1 KTH AND WEIZMANN ACTION DATASETS", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 571, + 505, + 649 + ], + "lines": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "Experimental settings. The KTH human action dataset (Schuldt et al., 2004) contains 6 categories", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 582, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 597 + ], + "score": 1.0, + "content": "of periodic motions on a simple background: running, jogging, walking, boxing, hand-clapping", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "and hand-waiving. We use person 1-16 for training and 17-25 for testing, and also resize frames to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 142, + 615 + ], + "score": 0.5, + "content": "1 2 8 \\mathrm { x } 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "pixels. 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We also select the walking, running,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "score": 1.0, + "content": "one-hand waving, and two-hands waving sequences from the Weizmann action dataset (Gorelick", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 639, + 323, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 323, + 651 + ], + "score": 1.0, + "content": "et al., 2007) for testing the networks’ generalizability.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41, + "bbox_fs": [ + 104, + 571, + 506, + 651 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "For all the experiments, we test the networks on predicting 20 time steps into the future. 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We set", + "type": "text" + }, + { + "bbox": [ + 201, + 710, + 245, + 721 + ], + "score": 0.91, + "content": "\\beta = 0 . 0 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 710, + 504, + 721 + ], + "score": 1.0, + "content": "for training. We also trained our convolutional LSTM baseline", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "in the same way. Following the same protocol as Mathieu et al. 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We display predictions", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 462, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 174, + 477 + ], + "score": 1.0, + "content": "starting from the", + "type": "text" + }, + { + "bbox": [ + 174, + 464, + 191, + 474 + ], + "score": 0.87, + "content": "1 2 ^ { \\mathrm { t h } }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 462, + 505, + 477 + ], + "score": 1.0, + "content": "frame, in every 3 timesteps. 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More clear motion prediction can be seen in the project", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 615, + 142, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 142, + 628 + ], + "score": 1.0, + "content": "website.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + } + ], + "index": 15.75 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 82, + 487, + 108 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 488, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 488, + 95 + ], + "score": 1.0, + "content": "A QUALITATIVE AND QUANTITATIVE COMPARISON WITH CONSIDERABLE", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 128, + 98, + 297, + 109 + ], + "spans": [ + { + "bbox": [ + 128, + 98, + 297, + 109 + ], + "score": 1.0, + "content": "CAMERA MOTION AND ANALYSIS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 107, + 120, + 505, + 164 + ], + "lines": [ + { + "bbox": [ + 105, + 120, + 505, + 132 + ], + "spans": [ + { + "bbox": [ + 105, + 120, + 505, + 132 + ], + "score": 1.0, + "content": "In this section, we show frame prediction examples in which considerable camera motion occurs. We", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 131, + 506, + 143 + ], + "spans": [ + { + "bbox": [ + 106, + 131, + 506, + 143 + ], + "score": 1.0, + "content": "analyze the effects of camera motion on our best network and the corresponding baselines. First,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 141, + 505, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 505, + 154 + ], + "score": 1.0, + "content": "we analyze qualitative examples on UCF101 (more complicated camera motion) and then on KTH", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 153, + 264, + 165 + ], + "spans": [ + { + "bbox": [ + 106, + 153, + 264, + 165 + ], + "score": 1.0, + "content": "(zoom-in and zoom-out camera effect).", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 120, + 506, + 165 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 176, + 506, + 254 + ], + "lines": [ + { + "bbox": [ + 106, + 176, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 506, + 190 + ], + "score": 1.0, + "content": "UCF101 Results. As seen in Figure 9 and Figure 10, our model handles foreground and camera", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 188, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 506, + 200 + ], + "score": 1.0, + "content": "motion for a few steps. We hypothesize that for the first few steps, motion signals from images are", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 199, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 506, + 211 + ], + "score": 1.0, + "content": "clear. However, as images are predicted, motion signals start to deteriorate due to prediction errors.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "When a considerable amount of camera motion is present in image sequences, the motion signals", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "score": 1.0, + "content": "are very dense. 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We were unable to find videos with background motion in the KTH dataset, but we", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "found videos where the camera is zooming in or out for the actions of boxing, handclapping, and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "handwaving. In Figure 11, we display qualitative for such videos. Our model is able to predict the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "zoom change in the cameras, while continuing the action motion. 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Thus, the motion signals are well", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 150 + ], + "score": 1.0, + "content": "localized in the foreground motion (human), and do not get confused with the background and lost as", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 147, + 142, + 164 + ], + "spans": [ + { + "bbox": [ + 104, + 147, + 142, + 164 + ], + "score": 1.0, + "content": "quickly.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "image", + "bbox": [ + 114, + 185, + 505, + 566 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 185, + 505, + 566 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 185, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 114, + 185, + 505, + 566 + ], + "score": 0.949, + "type": "image", + "image_path": "b774886d63872a72949b555d4a6118dda26edef93f942d3472c9b1e63492c31c.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 114, + 185, + 505, + 312.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 114, + 312.0, + 505, + 439.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 114, + 439.0, + 505, + 566.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 577, + 504, + 601 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 577, + 504, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 486, + 590 + ], + "score": 1.0, + "content": "Figure 11: Qualitative comparisons on KTH testset. We display predictions starting from the", + "type": "text" + }, + { + "bbox": [ + 487, + 577, + 504, + 588 + ], + "score": 0.67, + "content": "1 2 ^ { \\mathrm { t h } }", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 588, + 478, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 478, + 601 + ], + "score": 1.0, + "content": "frame, in every 3 timesteps. 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We were unable to find videos with background motion in the KTH dataset, but we", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "found videos where the camera is zooming in or out for the actions of boxing, handclapping, and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "handwaving. In Figure 11, we display qualitative for such videos. Our model is able to predict the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "zoom change in the cameras, while continuing the action motion. 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We display predictions starting from the", + "type": "text" + }, + { + "bbox": [ + 487, + 577, + 504, + 588 + ], + "score": 0.67, + "content": "1 2 ^ { \\mathrm { t h } }", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 588, + 478, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 478, + 601 + ], + "score": 1.0, + "content": "frame, in every 3 timesteps. 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a/parse/train/ryloogSKDS/ryloogSKDS_content_list.json b/parse/train/ryloogSKDS/ryloogSKDS_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..ceab9d6869dff4b1f4a4bd3858bd84c8b74ea196 --- /dev/null +++ b/parse/train/ryloogSKDS/ryloogSKDS_content_list.json @@ -0,0 +1,1472 @@ +[ + { + "type": "text", + "text": "DEEP ORIENTATION UNCERTAINTY LEARNING BASED ON A BINGHAM LOSS ", + "text_level": 1, + "bbox": [ + 176, + 99, + 736, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Igor Gilitschenski1, Roshni Sahoo1, Wilko Schwarting1, Alexander Amini1, \nSertac Karaman2, Daniela Rus1 \n1 Computer Science and Artificial Intelligence Lab, MIT \n2 Laboratory for Information and Decision Systems, MIT \n{igilitschenski, rsahoo, wilkos, amini, sertac, rus}@mit.edu ", + "bbox": [ + 183, + 169, + 767, + 242 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 277, + 544, + 292 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Reasoning about uncertain orientations is one of the core problems in many perception tasks such as object pose estimation or motion estimation. In these scenarios, poor illumination conditions, sensor limitations, or appearance invariance may result in highly uncertain estimates. In this work, we propose a novel learningbased representation for orientation uncertainty. By characterizing uncertainty over unit quaternions with the Bingham distribution, we formulate a loss that naturally captures the antipodal symmetry of the representation. We discuss the interpretability of the learned distribution parameters and demonstrate the feasibility of our approach on several challenging real-world pose estimation tasks involving uncertain orientations. ", + "bbox": [ + 233, + 306, + 764, + 444 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 468, + 336, + 484 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Reasoning about uncertain poses and orientations, specifically 3-dimensional (3d) positions and 3-axes orientations, is one of the main inference tasks in computer vision (Sattler et al., 2019), robotics (Glover et al., 2011), aerospace (Crassidis & Markley, 2003), and other fields. ", + "bbox": [ + 176, + 500, + 825, + 541 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Proper representation and estimation of uncertainty is important, e.g. when dealing with structural ambiguities in object pose estimation or coping with sensor corruption. ", + "bbox": [ + 174, + 541, + 547, + 582 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In vision and robotics tasks, high levels of pose uncertainty may occur due to potentially adversarial conditions that arise in real-world scenarios. A principled approach to uncertainty quantification allows for better execution of planning and situation-awareness tasks such as grasping, tracking, and motion estimation. ", + "bbox": [ + 174, + 589, + 549, + 672 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "When representing uncertainties over poses, the position can be modeled using a Gaussian distribution. This approach is well-motivated by the Central Limit Theorem and widely used in probabilistic deep learning models. However, this paradigm cannot be as easily applied to modeling periodic quantities, such as the orientation of an object. Therefore, Gaussian models become unsuitable particularly in learning regimes involving high uncertainties where one cannot assume local linearity of the underlying space. In this work, we set out to develop a principled probabilistic deep learning approach capable of coping with uncertain orientations. ", + "bbox": [ + 174, + 681, + 547, + 847 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Currently, most deep learning approaches that predict poses or rigid-body motions suffer from at least one of three drawbacks: 1) they do not model the uncertainty at all and merely focus on the accuracy of the predicted pose, 2) they make simplifying assumptions not taking into account that the orientation is defined on a periodic manifold, making the approach only suitable in low-noise regimes, or 3) even when trying to account for periodicity, no dependency is assumed between the orientation axes and usually an Euler angle-based representation is required. To this point, there are no probabilistic deep learning models for uncertainty of orientations that take the geometry of the underlying domain into account. ", + "bbox": [ + 173, + 854, + 549, + 896 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/8dd3507a6df732500949be3524c760ebc91aad24058d2ab9bcc69707af5af2e8.jpg", + "image_caption": [ + "Figure 1: Objects from the T-LESS dataset and the corresponding orientation uncertainty predicted by the model trained on the newly proposed Bingham loss, which is capable of capturing rotational symmetries. " + ], + "image_footnote": [], + "bbox": [ + 568, + 564, + 808, + 757 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 896, + 826, + 922 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 159 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this work, we close this research gap by proposing a probabilistic deep learning model inspired by Directional Statistics (Mardia & Jupp, 1999). We present a loss based on the Bingham distribution (Bingham, 1974), an antipodally symmetric distribution on the sphere. With this loss, we represent uncertain orientations by modeling uncertainty over unit quaternions. Our contributions involve Bingham parameter learning using backpropagation through a Gram-Schmidt method to ensure orthonormalization, efficient approximate evaluation of the normalization constant of the Bingham distribution from a lookup table, and backpropagating through an interpolation scheme during learning. We also discuss interpretability of the Bingham distribution parameters and establish the feasibility of the approach through extensive evaluations. ", + "bbox": [ + 174, + 166, + 825, + 291 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In summary, this work makes the following contributions: 1) We propose the Bingham loss, a novel loss function for deep learning-based predictions of orientations and their uncertainty. 2) We provide a methodology for making the newly proposed loss and its normalization constant computationally tractable in a deep learning pipeline. 3) We demonstrate multi-modal orientation prediction using a Bingham variant of Mixture Density Networks. 4) We demonstrate how our approach outperforms the state-of-the-art on challenging pose and orientation estimation tasks1. ", + "bbox": [ + 174, + 299, + 823, + 382 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 BACKGROUND: BINGHAM DISTRIBUTION FOR UNCERTAIN ORIENTATIONS ", + "text_level": 1, + "bbox": [ + 173, + 416, + 692, + 449 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Unit quaternions are a widely used representation for object orientation in 3d space. They are more compact than rotation matrices, and unlike Euler angles, do not suffer from degeneracies such as Gimbal lock. Additionally, quaternions provide a convenient mathematical notation where the quaternion product, ${ \\bf q } _ { 1 } \\odot { \\bf q } _ { 2 }$ , of two unit quaternions $\\mathbf { q } _ { 1 }$ , $\\mathbf { q } _ { 2 } \\in \\mathbb { H } _ { 1 }$ results in a concatenation of the rotations represented by each of the quaternions individually. A full introduction to this representation by given in Kuipers (1999) and notational aspects are discussed by Sommer et al. (2018). In this work, a quaternion $q _ { 1 } i + q _ { 2 } j + q _ { 3 } k + q _ { 4 }$ will be interpreted as a vector $\\mathbf { q } \\in \\mathbb { R } ^ { 4 }$ . It is important to note that the definition of unit quaternions is equivalent to the vector q being of unit length $| | \\mathbf { q } | | = 1$ . Furthermore, the quaternions $\\mathbf { q }$ and $\\mathbf { - q }$ represent the same orientation. Therefore, representing uncertain orientations using quaternions requires a probability distribution on the 4d hypersphere that exhibits antipodal symmetry, i.e. for the density function $f ( \\cdot )$ of this distribution ${ \\dot { f } } ( \\mathbf { \\bar { q } } ) = f ( - \\mathbf { q } )$ has to hold. ", + "bbox": [ + 173, + 473, + 825, + 640 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "A probability distribution exhibiting these properties was proposed by Bingham (1974). It arises by conditioning a zero mean Gaussian to unit length. The Bingham distribution is given in terms of its p.d.f. as $\\bar { p } ( \\mathbf { x } ; \\mathbf { M } , \\mathbf { Z } ) = N ( \\mathbf { M } \\mathbf { Z } \\mathbf { M } ^ { \\top } ) ^ { - 1 } \\exp ( \\mathbf { x } ^ { \\top } \\mathbf { M } \\mathbf { Z } \\mathbf { M } ^ { \\top } \\mathbf { x } )$ ,where $\\mathbf { x } \\in \\mathbb { R } ^ { 4 }$ with $| | \\mathbf { x } | | = 1$ , $N ( \\mathbf { M } \\mathbf { \\bar { Z } } \\mathbf { M } ^ { \\top } )$ is a normalization constant, $\\dot { \\mathbf { M } } \\in \\mathbb { R } ^ { 4 \\times 4 }$ orthogonal, and $\\mathbf { Z } = \\mathrm { d i a g } ( z _ { 1 } , z _ { 2 } , z _ { 3 } , 0 ) \\in$ $\\mathbb { R } ^ { 4 \\times 4 }$ diagonal, with diagonal entries $z _ { i } < = 0$ and the last entry being zero. We use the notation $\\mathrm { B i n g h a m } ( \\mathbf { M } , \\mathbf { Z } )$ . The restriction on the range of the diagonal entries in $\\mathbf { Z }$ has numerical and representational convenience reasons. It can be shown that Bingham $\\mathbf { \\tau } _ { \\mathrm { l } } ( \\mathbf { M } , \\mathbf { Z } ) = \\mathrm { B i n g h a m } ( \\mathbf { M } , \\mathbf { Z } + c \\mathbf { \\bar { I } } )$ for all $c \\in \\mathbb { R }$ with $\\mathbf { I } \\in \\mathbb { R } ^ { 4 \\times 4 }$ denoting the identity matrix. Similarly, changing the order of diagonal entries in $\\mathbf { Z }$ has no effect on the distribution as long as the columns in $\\mathbf { M }$ are permuted accordingly. ", + "bbox": [ + 173, + 646, + 825, + 772 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In the definition above, the parameters $\\mathbf { M }$ and $\\mathbf { Z }$ bear some similarity to the mean and variance of a Gaussian. The density obtains its maxima at $\\pm \\mathbf { M } _ { : , 4 }$ (the fourth column of $\\mathbf { M }$ ) which can be thought of as a mean orientation respecting the manifold structure. The diagonal entries of $\\mathbf { Z }$ can be interpreted as dispersion parameters, and the first three columns of $\\mathbf { M }$ can be interpreted as the directions of the dispersion (the Gaussian analog is the orientation of the covariance ellipsoid). Bingham distributions allow for representation of uniform priors over individual axes or even the entire space, making them superior to Gaussians in any of the usual orientation representations. ", + "bbox": [ + 174, + 779, + 825, + 876 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/9e1844f2c30eb42b33cba4e89d8c366ffb27182986c158e5eefb3a2605d67764.jpg", + "image_caption": [ + "Figure 2: Densities of the Bingham distribution represented for different dimensionality. For the circular case (a), the density is shown as a function of unit vectors on the plane. For the spherical case (b), it is shown as a heatmap on a 3d unit sphere. For the 4d case (c), which is of our particular interest, we visualize the mode of the Bingham in terms of the coordinate system orientation represented by the corresponding quaternion. Then, we draw samples from the distribution and visualize each sample as a potential coordinate arrow endpoint for each axis (i.e. each sample drawn from the Bingham distribution is represented by three points in the plot). This representation allows us to simultaneously represent the orientation and the corresponding uncertainty. " + ], + "image_footnote": [], + "bbox": [ + 207, + 114, + 789, + 284 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "One of the main challenges of using the Bingham distribution is the computation of its normalization constant ", + "bbox": [ + 176, + 439, + 823, + 467 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/5dd29aee85bbddcef73a8a1e8b94b250fd1a882b37cd3b744dbbed25bb8eba57.jpg", + "text": "$$\nN ( \\mathbf { M Z M } ^ { \\top } ) = \\int _ { | | q | | = 1 } \\exp ( \\mathbf { q } ^ { \\top } \\mathbf { M Z M } ^ { \\top } \\mathbf { q } ) \\mathrm { d } \\mathbf { q } ,\n$$", + "text_format": "latex", + "bbox": [ + 338, + 463, + 656, + 500 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "which is a Hypergeometric function of matrix argument (Herz, 1955). Evaluating these functions imposes a high computational burden and is still an area of active research (Koev & Edelman, 2006; Kume et al., 2013; Koyama et al., 2014; Kume & Sei, 2018). Using the transformation theorem and the fact that M is orthogonal, the normalization constant can be simplified as $N ( \\mathbf { M Z M } ^ { \\top } ) = N ( \\mathbf { Z } )$ , making it merely a function of the three parameters $z _ { i }$ $( i = 1 , 2 , 3$ ) and motivating the use of precomputed lookup tables in practice. ", + "bbox": [ + 173, + 502, + 825, + 587 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Furthermore, to make the uncertainty of a Bingham Distribution more interpretable in practice, we propose the use of Expected Absolute Angular Deviation (EAAD) which is defined as ", + "bbox": [ + 173, + 593, + 823, + 622 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/e887e8160d5faa08aafefb95105b0dfc0fdec5dba92fb2e91ef8ab7df5862484.jpg", + "text": "$$\n\\mathrm { E A A D } ( \\mathbf { Z } ) = \\int _ { | | q | | = 1 } \\theta ( \\mathbf { q } , \\mathbf { e } ) \\cdot p ( \\mathbf { q } ; \\ \\mathbf { I } , \\mathbf { Z } ) \\mathrm { d } \\mathbf { q } ,\n$$", + "text_format": "latex", + "bbox": [ + 344, + 627, + 650, + 664 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $p ( \\cdot )$ is the $\\mathrm { B i n g h a m } ( \\mathbf { I } , \\mathbf { Z } )$ density, $\\mathbf { I }$ is the identity matrix, $\\mathbf { e } ~ = ~ [ 0 , 0 , 0 , 1 ]$ is the vector corresponding to the unit quaternion representing the identity and $\\theta ( \\mathbf { q } , \\mathbf { e } ) = 2 \\cdot \\operatorname { a r c c o s } ( | \\langle \\mathbf { q } , \\mathbf { e } \\rangle | )$ denotes the angular distance between $\\mathbf { q }$ and $\\mathbf { e }$ . The EAAD describes the expected angular deviation from the “mean” orientation. It can be loosely thought of as the orientation counterpart to the standard deviation in Euclidean space. For the same reason as in the normalization constant, the EAAD computation does not involve the parameter $\\mathbf { M }$ . ", + "bbox": [ + 173, + 670, + 825, + 755 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 DEEP ORIENTATION UNCERTAINTY LEARNING ", + "text_level": 1, + "bbox": [ + 173, + 775, + 596, + 792 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The Bingham distribution is the main component of the proposed probabilistic framework for representing deep learned uncertain orientations. Drawing inspiration from Mixture Density Networks (Bishop, 1994), we propose using the Bingham distribution’s negative log-likelihood as a loss function ", + "bbox": [ + 173, + 806, + 825, + 863 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/16eec4fdd2ac8ba251459bf48bb588e509c5001c48727eef3e3b55bfc1707067.jpg", + "text": "$$\n\\begin{array} { r } { L ( \\mathbf { y } , \\mathbf { M } , \\mathbf { Z } ) = - \\log p ( \\mathbf { y } ; \\mathbf { M } , \\mathbf { Z } ) = - \\mathbf { y } ^ { \\top } \\mathbf { M } \\mathbf { Z } \\mathbf { M } ^ { \\top } \\mathbf { y } + \\log N ( \\mathbf { Z } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 279, + 868, + 715, + 888 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "with M, $\\mathbf { Z }$ as defined above and y being the orientation label given in the training data. We use a neural network to learn $\\mathbf { M }$ and $\\mathbf { Z }$ , end-to-end, directly from the input data (e.g. RGB images). From this prediction, the point estimate of $\\mathbf { y }$ is obtained as $\\hat { \\mathbf { y } } = \\mathbf { M } _ { : , 4 }$ as the last column corresponds to the highest diagonal entry of $\\mathbf { Z }$ and thus represents one of the modes of the distribution (the other being $- \\hat { \\mathbf { y } }$ due to antipodal symmetry). ", + "bbox": [ + 173, + 895, + 821, + 924 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/93d820669a8e990c2177fda9970ffe82317decc83b8b47b89262ba82eb327bfe.jpg", + "image_caption": [ + "Figure 3: The proposed orientation uncertainty estimation pipeline predicts the parameters of a Bingham distribution for representing uncertain unit quaternions. Backpropagation through an interpolator and use of a lookup table allows for avoiding evaluations of the computationally expensive Bingham normalization constant. " + ], + "image_footnote": [], + "bbox": [ + 173, + 98, + 825, + 241 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 340, + 823, + 383 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "No costly evaluation of the normalization constant is required and no major computational challenges arise in the special case where the dispersion parameter $\\mathbf { Z }$ is known and not predicted by a neural network. However, as our goal is the modeling of uncertainty, we propose methods for modeling M and $\\mathbf { Z }$ as well as backpropagating through $N ( \\mathbf { Z } )$ . ", + "bbox": [ + 174, + 390, + 825, + 446 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 MODELING OF DISTRIBUTION PARAMETERS ", + "text_level": 1, + "bbox": [ + 174, + 463, + 517, + 477 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In order to obtain predictions $\\hat { \\textbf { M } }$ and $\\hat { \\mathbf { Z } }$ , we require a 19 dimensional output $\\mathbf { \\tau } ( \\mathbf { o } \\in \\mathbb { R } ^ { 1 9 } .$ ) of the predictor network (3 outputs for $\\mathbf { Z }$ , 16 outputs for $\\mathbf { M }$ ). On its own, these outputs do not satisfy the above-mentioned constraints on the Bingham distribution parameters. Thus, we define the differentiable transforms $T _ { \\mathbf { M } } : \\mathbb { R } ^ { 1 6 } \\mathbb { R } ^ { 4 \\times 4 }$ and $T _ { \\mathbf { Z } } : \\mathbb { R } ^ { 3 } \\mathbb { R } ^ { 4 \\times 4 }$ that transform these outputs such that the constraints are satisfied. ", + "bbox": [ + 174, + 487, + 825, + 559 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The transform $T _ { \\mathbf { Z } }$ is obtained as $T _ { \\mathbf { Z } } ( o _ { 1 } , o _ { 2 } , o _ { 3 } ) = \\mathrm { d i a g } ( \\hat { z } _ { 1 } , \\hat { z } _ { 2 } , \\hat { z } _ { 3 } , 0 )$ with $\\hat { z } _ { i } = - \\exp ( o _ { i } )$ . For computing $\\hat { \\textbf { M } }$ , we first subdivide $O _ { 4 } , \\ldots , O _ { 1 9 }$ into four vectors $\\mathbf { v } _ { i } ~ \\in ~ \\mathbb { R } ^ { 4 }$ $( i = 1 , \\dots , 4 )$ . Then, we apply the Gram-Schmidt orthonormalization method to these vectors according to $\\begin{array} { r l } { \\hat { \\mathbf { m } } _ { i } } & { { } = } \\end{array}$ N $\\begin{array} { r } { \\mathrm { o r m a l i z e } ( \\mathbf { v } _ { i } - \\sum _ { k = 1 } ^ { i - 1 } \\langle \\hat { \\mathbf { m } } _ { k } , \\mathbf { v } _ { i } \\rangle \\cdot \\hat { \\mathbf { m } } _ { k } ) } \\end{array}$ with $i \\in \\{ 1 , 2 , 3 , 4 \\}$ and $\\mathrm { N o r m a l i z e } ( \\mathbf { x } ) = \\mathbf { x } / \\left| \\left| \\mathbf { x } \\right| \\right|$ . Finally, the prediction $\\dot { \\bf M }$ is obtained as $T _ { \\mathbf { M } } ( o _ { 3 } , \\ldots , o _ { 1 9 } ) = [ \\hat { \\mathbf { m } } _ { 1 } , \\ldots , \\hat { \\mathbf { m } } _ { 4 } ]$ , and $\\hat { \\textbf { M } }$ is orthogonal by construction. ", + "bbox": [ + 173, + 565, + 825, + 659 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 BACKPROPAGATION THROUGH THE BINGHAM NORMALIZATION CONSTANT", + "text_level": 1, + "bbox": [ + 176, + 674, + 736, + 689 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "As mentioned earlier, computation of the Bingham normalization constant is numerically burdensome. This is also true for its derivatives which can be shown to be proportional to the normalization constant of Bingham distributions of higher dimension (Kume & Wood, 2007). A forward-backward pass for one single data point requires 4 evaluations of hypergeometric functions of matrix argument. ", + "bbox": [ + 174, + 700, + 825, + 756 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We avoid this by precomputing a lookup table for $N ( \\mathbf { Z } )$ at $\\mathrm { L }$ different locations $\\mathbf { t } _ { i }$ (with $\\mathbf { Z } _ { i } \\mathbf { \\Psi } =$ $\\mathrm { d i a g } ( [ \\mathbf { t } _ { i } ^ { \\top } , 0 ] )$ . This table is then used to build an interpolator $\\begin{array} { r } { f _ { N } ( \\mathbf { z } ) = \\sum _ { i - 1 } ^ { L } w _ { i } \\phi ( | | \\mathbf { z } - \\mathbf { t } _ { i } | | ) } \\end{array}$ with $\\textbf { z } \\in \\mathbb { R } ^ { 3 }$ and $\\phi$ denoting a radial basis function. The weights $w _ { i }$ can also be precomputed during generation of the interpolator. Thus, we can approximate ${ \\cal N } ( { \\bf Z } ) \\approx f _ { N } ( { \\bf z } )$ and $\\nabla _ { \\mathbf { z } } N ( \\mathbf { Z } ) \\approx \\nabla _ { \\mathbf { z } } f _ { N } ( \\mathbf { z } )$ . To the best of our knowledge, this is the first time that a lookup table based interpolation mechanism has been included in the computation graph of a neural network. ", + "bbox": [ + 173, + 762, + 825, + 853 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 MULTI-MODAL PREDICTION ", + "text_level": 1, + "bbox": [ + 176, + 869, + 413, + 883 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "A Bingham variant of Mixture Density Networks can be used to obtain multi-modal predictions. However, MDNs are hard to train even in the Gaussian case. Following the discussion in Makansi et al. (2019), we separate the training in two stages. In the first stage, we only learn to predict $\\mathbf { M }$ and assume the dispersion to be fixed with $\\mathbf { Z } = \\mathrm { d i a g } ( - a , - a , - a , 0 )$ . In practice $a \\in \\mathbb { R } ^ { + }$ can usually be set to 1 as it merely scales the cost term. In the second stage, we train to predict M and $\\mathbf { Z }$ jointly. Our evaluation will show that in high uncertainty regimes, this training method is also helpful for the unimodal case. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 174 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 194, + 326, + 210 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this section we evaluate the proposed Bingham loss on its ability to learn calibrated uncertainty estimates for orientations. This goes beyond comparing point estimates of orientations; we evaluate how well the estimated distribution of orientations can explain the data. We will also show that the Bingham distribution representation is capable of capturing ambiguity and uncertainty in SO(3) better than state-of-the-art approaches. ", + "bbox": [ + 173, + 226, + 825, + 295 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We investigate characteristics and behaviors by training neural networks on two head-pose datasets, IDIAP (Odobez, 2003) and UPNA (Ariz et al., 2016), as well as the object pose dataset TLESS (Hodan et al., 2017). We show the capability of calibrated uncertainty estimation by applying ˇ artificial label-noise to IDIAP and UPNA and observing that the Bingham parametrization allows for accurate prediction of uncertainty. In addition to calibrated uncertainty estimation, we demonstrate advanced capabilities in the face of object orientation ambiguity on the T-LESS dataset by visualizing the predicted distributions for different orientation ambiguous objects, e.g. symmetric, and comparing to objects with clear orientation. ", + "bbox": [ + 173, + 303, + 825, + 415 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.1 ARCHITECTURE AND EXPERIMENTAL SETUP ", + "text_level": 1, + "bbox": [ + 174, + 431, + 526, + 445 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We seek to estimate the Bingham distribution parameters directly from image data. Our pipeline is shown in Figure 3 and begins by passing an image input to a convolutional encoder, in our case a standard ResNet-18 network followed by a fully connected layer, populating the entries of $o _ { 1 } , o _ { 2 } , o _ { 3 }$ and $v _ { 1 } , v _ { 2 } , v _ { 3 } , v _ { 4 }$ . Subsequently, $\\mathbf { Z }$ is computed by constrained diagonalization of $O 1 , O 2 , O 3$ , and Gram-Schmidt orthonormalization of $v _ { 1 } , v _ { 2 } , v _ { 3 } , v _ { 4 }$ yields $\\mathbf { M }$ , as described in Section 3.1. To evaluate the Bingham loss, the normalizer $N ( \\mathbf { Z } )$ needs to be queried from the RBF lookup table, Section 3.2. Differentiation of the interpolator via finite differences enables us to back-propagate through the entire pipeline. All models were implemented in PyTorch and optimized with the Adam optimizer. ", + "bbox": [ + 173, + 457, + 825, + 583 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We create the lookup table by numerical integration. More precisely, we use Scipy’s tplquad method to compute a triple integral for each $\\mathbf { Z }$ in the table. We set the relative error tolerance to 1e-3 and the absolute error tolerance to 1e-7. The actual computed integral is ", + "bbox": [ + 174, + 589, + 823, + 632 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/b3f512af9564a739730df64f0633d427ade23c32a6e87970f4dbcd61931eddaa.jpg", + "text": "$$\nN ( \\mathbf { Z } ) = \\int _ { 0 } ^ { 2 \\pi } \\int _ { 0 } ^ { \\pi } \\int _ { 0 } ^ { \\pi } \\exp \\big ( t ( \\phi _ { 1 } , \\phi _ { 2 } , \\phi _ { 3 } ) ^ { \\top } \\mathbf { Z } t ( \\phi _ { 1 } , \\phi _ { 2 } , \\phi _ { 3 } ) \\big ) \\cdot \\sin ( \\phi _ { 1 } ) ^ { 2 } \\cdot \\sin ( \\phi _ { 2 } ) \\mathrm { d } \\phi _ { 1 } \\mathrm { d } \\phi _ { 2 } \\mathrm { d } \\phi _ { 3 } ,\n$$", + "text_format": "latex", + "bbox": [ + 187, + 638, + 807, + 675 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "with ", + "bbox": [ + 173, + 681, + 207, + 695 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d73564ed4e899f5e0499bf8ab5ca8a14666d6128c48eaa0a87ff05950ab30736.jpg", + "text": "$$\nt ( \\phi _ { 1 } , \\phi _ { 2 } , \\phi _ { 3 } ) = \\left[ { \\sin ( \\phi _ { 1 } ) \\cdot \\sin ( \\phi _ { 2 } ) \\cdot \\cos ( \\phi _ { 3 } ) } \\right]\n$$", + "text_format": "latex", + "bbox": [ + 346, + 691, + 650, + 751 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "to account for a transformation of coordinates from unit quaternions to 4d spherical coordinates. Because we use the Bingham log likelihood as our optimization objective, we compute the logarithm before the interpolation to avoid failure at locations where the interpolator wrongly outputs negative values. ", + "bbox": [ + 173, + 753, + 825, + 810 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.2 BASELINES", + "text_level": 1, + "bbox": [ + 174, + 827, + 294, + 842 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We compare our work with the approach proposed by Prokudin et al. (2018). It also uses a loss based on directional statistics, specifically the Von Mises distribution. The Von Mises distribution can be thought of as a circular analog of the Normal distribution. In order to apply this approach to our setting, orientations are modeled with Euler angles. The loss then consists of the sum of log-likelihoods for each angle. While this approach can properly account for periodicity of the underlying data, we expect it to fail in cases where the underlying uncertainty is not axis aligned because it does not account for dependencies between uncertain rotation axes. ", + "bbox": [ + 174, + 853, + 823, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Furthermore, we also evaluate several different representations of the parameter matrix M. We consider the classical Gram-Schmidt (CGS), modified Gram-Schmidt (MGS), and the matrix representation of the quaternion (QM) used by Birdal et al. (2018). Finally, we also include two nonprobabilistic orientation prediction baselines. The first one is based on a Mean Square Error (MSE) between the predicted and ground truth quaternion. The second one is based on a cosine loss applied to each angle’s biternion as discussed by Prokudin et al. (2018). ", + "bbox": [ + 174, + 138, + 825, + 222 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.3 EVALUATION METRICS ", + "text_level": 1, + "bbox": [ + 176, + 241, + 375, + 255 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To evaluate error metrics over predicted orientations, it is unsuitable to compute the RMSE over angles, since it does not sufficiently consider the spherical nature of the underlying data. Instead, we make use of the Mean Absolute Angular Deviation (MAAD) which has also been used by Prokudin et al. (2018). It is based on the angular distance between two angles defined above. We also compute the EAAD to assess the quality of the results. Additionally, the difference between EAAD and MAAD serves as an indicator of the quality of the predicted uncertainty. The acceptable difference in practice is application dependent. For the cases of the Von Mises distribution parameters, EAAD computation is carried out in a similar way as for the Bingham defined above. EAAD is calculated over the learned dispersion parameters for each example and averaged. The quality of the respective model is measured in terms of log-likelihood to indicate the goodness of an individual fit. For MDNs, we additionally report a Mean Minimum Absolute Angular Deviation (MMAAD), which uses the component closest to ground-truth for absolute angular deviation computation. The MAAD and EAAD for MDNs are computed in a per-component fashion and then weighted using the predicted mixture weights. ", + "bbox": [ + 173, + 267, + 825, + 462 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.4 CALIBRATED UNCERTAINTY ESTIMATION ", + "text_level": 1, + "bbox": [ + 176, + 479, + 503, + 494 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We evaluate the distribution fit on the head pose datasets UPNA and IDIAP, which consist of head images from a video of several people inside a room. Each image is annotated with head orientation given by pan, tilt and roll angles. We use these datasets as they provide accurate labels and allow for carrying out experiments involving artificial label noise. ", + "bbox": [ + 174, + 506, + 825, + 563 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The results on the raw dataset are shown in Table 1. They demonstrate that the general performance for point estimates, indicated by MAAD, of the Bingham distribution remains on a similar level as the Von Mises distribution and the non-probabilistic approaches. In this setting, most motions of the subjects’ heads are aligned with the gravity axis allowing both distributions to successfully capture ", + "bbox": [ + 174, + 570, + 380, + 763 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/486522581c39209f620e64e3bc8ae3d60bffc806f2e91fcb15180cb7d6688aaf.jpg", + "table_caption": [ + "Table 1: Bingham (BD), Von Mises (VM), Mean Square Error (MSE), and cosine based loss prediction performance on raw UPNA and IDIAP datasets. " + ], + "table_footnote": [], + "table_body": "
UPNAIDIAP
EAADMAADLLEAADMAADLL
BD-CGS0.100.114.700.100.094.49
BD-MGS0.100.133.870.100.104.58
BD-QM0.100.160.310.100.094.74
VM0.130.113.690.120.092.08
MSE=0.12-0.10
Cosine=0.12==0.10=
", + "bbox": [ + 397, + 585, + 818, + 691 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "the noise. However, the Bingham still attains a higher log-likelihood and a smaller gap between MAAD and EAAD. Similarly, the parametrization of the concentration matrix M has a relatively small impact on the estimation performance. Although MGS has stronger robustness guarantees than CGS (the latter has a quadratic dependency on the condition number of the input matrix, see Giraud et al. (2005) for a discussion of both), the condition of the input is not poor enough to impact performance. While the quaternion matrix approach is easier to train, it also loses some of the expressiveness of the Bingham distribution because the underlying mapping (from quaternions to the space of orthogonal matrices) is not surjective. ", + "bbox": [ + 174, + 763, + 825, + 875 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To estimate how well the predicted uncertainties are calibrated, we add artificial noise by drawing random perturbations from the Bingham distribution with varying $z _ { 1 } , z _ { 2 }$ , and $z _ { 3 }$ parameters and applying them to the quaternion labels before training. Both UPNA and IDIAP contain negligible amounts of noise, so the dispersion of the noise distribution should be captured by the learned $\\mathbf { Z }$ to high accuracy. An evaluation of uncertainty and label noise is shown in Table 2. For the case of no noise, the Bingham uncertainty parameters approximate the highest certainty levels represented in the lookup table. Thus, the maximum and minimum values in the lookup table automatically become the bounds of what certainty levels can be represented by the proposed loss. When noise is applied to the training labels, the learned uncertainty parameters closely match the dispersion of label noise, so the predicted EAAD accurately captures the EAAD corresponding to the dispersion of the label noise distribution. We note that the MAAD is slightly higher than the true and estimated EAAD values. This overconfidence effect is typical in probabilistic deep learning and also arises when predicting the parameters of a Gaussian (Amini et al., 2019). In addition, we evaluated a scenario where the noise is newly sampled and applied to the true labels in each iteration (rather than corrupting the labels with the sampled noise prior to training). In this scenario, the EAAD computed from the learned dispersion parameters, the true EAAD, and the MAAD are approximately equal in value. While this scenario is less realistic in practice (and thus not visualized), it provides further evidence for representational consistency of the loss. ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/a3018f6474f4a75f305d55ffc845593d9fb2b5503241b32b8d774c1fa3b4a48c.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 361, + 102, + 799, + 171 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/7b9208013c7113a757852e3ec0a9c443a6630be7ffb234ebf0aff98c5a3c64f9.jpg", + "table_caption": [ + "Table 2: Testing accuracy of uncertainty calibration. Prior to training, we perturb the labels with noise sampled from the Bingham distribution with M equal to the identity and varying $z _ { 1 } , z _ { 2 } , z _ { 3 }$ . The figures represent the different noise distributions. " + ], + "table_footnote": [], + "table_body": "
-z1-22 -23EAAD-z1-z2 -23EAAD MAAD-21-22 -z3EAAD MAAD-21 -22-z3EAAD MAAD-z1-22-23EAAD MAAD
Label noiseNo noise02020200.52250150500.22150100750.233003003000.13
UPNA4974974970.101919190.54186105630.23130114740.233033002950.13
IDIAP±0.4±0.4±0.50.69±78±30±150.29±35±10±140.28±16±16±170.20
499499 4990.101919180.55167164470.249387760.253002942800.13
±0.5±0.5 ±0.30.59±17±20士30.29±8±8±70.28±24±25±35 0.20
", + "bbox": [ + 187, + 175, + 810, + 242 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 321, + 825, + 530 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.5 HANDLING AMBIGUOUS DATA ", + "text_level": 1, + "bbox": [ + 176, + 549, + 426, + 563 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We use the T-LESS dataset for evaluating the proposed model using ambiguous data. It contains images of 30 different textureless objects taken from different cameras. We use the Kinect RGB single-object images all of which are split into training, test, and validation sets. At a coarse scale most of the objects in the dataset exhibit rotational or other symmetries. At a finer scale some of these ambiguities disappear due to smaller structures. On the one hand, we expect those to be more challenging to learn. On the other hand, capturing these structures allows for very precise orientation estimation. To be able to disregard these structures, we create a variant of T-LESS where we add blur to each image using a uniform $1 0 \\mathrm { p x } \\times 1 0 \\mathrm { p x }$ kernel. ", + "bbox": [ + 174, + 575, + 825, + 688 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We carry out two sets of experiments. In the first set of experiments, we train orientation estimation models for 5 epochs using the Bingham loss (BD-5) and the Von Mises loss (VM-5) on the blurred and original set of images. This allows to investigate the uncertainty estimation properties before the network captures the finer grained structures. In the second set of experiments, we use the original set of images to evaluate multi-modal orientation prediction using the two-stage training approach for models with 1 (BD-MDN-1), 2 (BD-MDN-2), and 4 (BD-MDN-4) mixture components. Each stage is carried out for 30 epochs. The comparison methods use Von Mises (VM), Mean Square Error (MSE), and Cosine losses with an overall training duration of 60 epochs (or until convergence if that is earlier). ", + "bbox": [ + 174, + 694, + 516, + 833 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/12a1a7a50c4787ade8fea3be458744791e9b93036aec70d0fe24411260fa7edd.jpg", + "table_caption": [ + "Table 3: Results on the T-LESS dataset in the high uncertainty regime. " + ], + "table_footnote": [], + "table_body": "
Method[Log-likelihood MAADEAAD
VM-5-0.120.48 0.33
BD-52.82 1.571.58
VM-5 w. blur-0.03 0.560.44
BD-5 w. blur2.71 1.591.58
", + "bbox": [ + 534, + 710, + 818, + 779 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 833, + 825, + 875 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The results for the first set of experiments are visualized in Table 3. As expected, both approaches are on average far off in terms of the true orientation. While Von Mises performs better on the MAAD, we observe that there is a larger difference between the MAAD and EAAD values for the ", + "bbox": [ + 174, + 882, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Von Mises distribution than the Bingham distribution. This indicates that the uncertainty estimates of the Von Mises distribution may be overconfident. On the other hand the Bingham distribution better captures the uncertainty over individual axes. One interesting insight is that allowing for uniform distributions over individual non-aligned periodic axes can make it hard for the learning method to pick up on the proper pose and thus may require pre-training on the pure pose estimation task in such regimes. ", + "bbox": [ + 174, + 103, + 825, + 188 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In the second set of experiments, as visualized in Table 4, we use this training strategy for all Bingham MDN models resulting in robust convergence behavior. However, the unimodal Bingham (BD-MDN1) converges slower than Von Mises (VM) thus achieving a higher MAAD, which is adequately captured by the Bingham’s EAAD. For multiple mixture components, we obtain a very low MAAD and can observe again the phenomenon of the lookup table limitations in the EAAD. Thus, the ", + "bbox": [ + 174, + 194, + 450, + 359 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/961008c0bc08de303d9e96962e81f60aeb4f7cf3adec50942a0e1d4b6e25b8cf.jpg", + "table_caption": [ + "Table 4: Results on the T-LESS dataset involving multi modal prediction. " + ], + "table_footnote": [], + "table_body": "
MethodLog-likelihood MAAD MMAAD EAAD
VM3.730.10-0.17
BD-MDN-15.000.20=0.21
BD-MDN-26.170.070.060.12
BD-MDN-46.190.060.050.10
MSE-0.22-1
Cosine=0.10==
", + "bbox": [ + 475, + 210, + 813, + 303 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "MAAD achieved during the first training stage can not only be used for inspecting the network’s accuracy but also for determining the minimum Z parameter values stored in the lookup table. Another interesting phenomenon can be observed in the EAAD and MAAD of the VM loss. As the representation required by Von Mises assumes that each axis is independent, EAAD is computed per rotation axis. This results in an overapproximation of the uncertainty overall. For the nonprobabilistic losses, the cosine loss achieves better performance which is probably due to better consideration of the underlying geometry. In summary, while the proposed Bingham loss shares the general challenges of training Mixture Density Networks, it better captures the underlying noise structure by explicitly modeling dependencies between rotation axes. ", + "bbox": [ + 174, + 361, + 825, + 486 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 DISCUSSION AND RELATED WORK ", + "text_level": 1, + "bbox": [ + 174, + 521, + 495, + 536 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Quantifying and representing uncertainty by and in neural networks has been a subject of extensive research initially focused on modeling probability distribution parameters (Nix & Weigend, 1994) and mixture distributions (Bishop, 1994) as neural network outputs. More recent approaches focus on improving understanding of the underlying uncertainties (Kendall & Gal, 2017), providing scalable techniques for estimating predictive uncertainty (Lakshminarayanan et al., 2017), and stabilizing training to avoid mode collapse (Makansi et al., 2019). The present work is orthogonal to these approaches in the sense that it focuses on proper modeling of the underlying geometric domain and coping with a computationally demanding normalization constant. ", + "bbox": [ + 174, + 561, + 825, + 674 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Handling of poses and orientations has been extensively studied in the context of Bayesian filtering for applications such as spacecraft attitude estimation (Crassidis & Markley, 2003) and ego-motion estimation (Bloesch et al., 2015), where one can often assume the underlying uncertainties to be small. This allows for leveraging local-linearity and using the Gaussian distribution. Recently, methods based on directional statistics enabled modeling of high uncertainty levels for inferring orientations (Gilitschenski et al., 2016) and full poses (Glover et al., 2011; Glover & Kaelbling, 2014; Srivatsan et al., 2016) by using the Bingham distribution. Drawing inspiration from these results, this work extends the applicability of these approaches to probabilistic deep learning models. ", + "bbox": [ + 174, + 680, + 825, + 792 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Particularly in computer vision, deep learning has been applied to spherical regression and pose estimation problems (Liao et al., 2019; Huang et al., 2018). These applications involve inferring object (Brachmann et al., 2014; Hodan et al., 2018; Li et al., 2018b;a; Manhardt et al., 2019; Sun- ˇ dermeyer et al., 2018; Tekin et al., 2018; Wang et al., 2019b;a), body (Yang et al., 2019), and camera poses (Clark et al., 2017; Sattler et al., 2019; Wang et al., 2017; 2018). In all of these scenarios there is a multitude of sources for potentially high uncertainties such as the use of low-resolution data (e.g. tracking pose of distant pedestrians), absence of textures (e.g. when operating on depth data), or motion blur (e.g. due to high speeds in ego-motion estimation). However, most of the existing approaches merely focus on inferring the pose but do not account for the underlying uncertainty. ", + "bbox": [ + 173, + 797, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The representation proposed in our work closes this gap by allowing for neural networks to output well-calibrated orientation uncertainty estimates. ", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Only a few approaches consider modeling the uncertainty of orientations for deep learning based pose estimation. PoseRBPF by Deng et al. (2019) discretizes the orientation space into over 190 000 bins and learns a codebook to allow for tractable inference. In contrast to that approach, we do not require an a priori discretization and can directly obtain interpretable estimates. Similarly to us, Prokudin et al. (2018) propose a loss based on directional statistics. By making use of the Von Mises distribution, their work can properly account for periodicity of circular data. However, as we have shown in our evaluations, this approach cannot properly account for dependencies between different axes and thus, struggles when the underlying uncertainty is not axis aligned. ", + "bbox": [ + 174, + 138, + 825, + 251 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 174, + 270, + 318, + 286 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this work, we introduced the Bingham loss, a loss function based on the Bingham distribution that enables neural networks to predict uncertainty over unit quaternions and thus uncertain orientations. This allows for using (rotation-)symmetric objects and ambiguous sensor data in the context of pose and orientation estimation. In addition, we demonstrate how to cope with intractable likelihoods in deep learning pipelines by using non-linear interpolation and lookup tables as part of the computation graph. ", + "bbox": [ + 174, + 301, + 825, + 386 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The presented approach is directly usable in existing probabilistic deep learning techniques. Moreover, we demonstrate its applicability for mixture density models. The choice of parametrization remains one of the main design decisions in pose and orientation estimation pipelines. Our work supports the case for using quaternions over other parametrizations for deep learning. It also motivates further research on how to properly model dependencies between uncertain periodic and non-periodic quantities. ", + "bbox": [ + 174, + 392, + 825, + 476 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 492, + 326, + 505 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This work was supported in part by NSF Grant 1723943, the Office of Naval Research (ONR) Grant N00014-18-1-2830, and Toyota Research Institute (TRI). This article solely reflects the opinions and conclusions of its authors and not TRI, Toyota, or any other Toyota entity. Their support is gratefully acknowledged. 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a/parse/train/zv-typ1gPxA/zv-typ1gPxA.md b/parse/train/zv-typ1gPxA/zv-typ1gPxA.md new file mode 100644 index 0000000000000000000000000000000000000000..dec1c595fdc2aee5429ba1727ea1837ce7901f9e --- /dev/null +++ b/parse/train/zv-typ1gPxA/zv-typ1gPxA.md @@ -0,0 +1,393 @@ +# RETRIEVAL-AUGMENTED GENERATION FOR CODE SUMMARIZATION VIA HYBRID GNN + +Shangqing Liu1∗, Yu Chen2†, Xiaofei Xie1†, Jingkai Siow1, Yang Liu1 +1 Nanyang Technology University +2 Rensselaer Polytechnic Institute + +# ABSTRACT + +Source code summarization aims to generate natural language summaries from structured code snippets for better understanding code functionalities. However, automatic code summarization is challenging due to the complexity of the source code and the language gap between the source code and natural language summaries. Most previous approaches either rely on retrieval-based (which can take advantage of similar examples seen from the retrieval database, but have low generalization performance) or generation-based methods (which have better generalization performance, but cannot take advantage of similar examples). This paper proposes a novel retrieval-augmented mechanism to combine the benefits of both worlds. Furthermore, to mitigate the limitation of Graph Neural Networks (GNNs) on capturing global graph structure information of source code, we propose a novel attention-based dynamic graph to complement the static graph representation of the source code, and design a hybrid message passing GNN for capturing both the local and global structural information. To evaluate the proposed approach, we release a new challenging benchmark, crawled from diversified large-scale open-source $C$ projects (total $\mathbf { 9 5 k + }$ unique functions in the dataset). Our method achieves the state-of-the-art performance, improving existing methods by 1.42, 2.44 and 1.29 in terms of BLEU-4, ROUGE-L and METEOR. + +# 1 INTRODUCTION + +With software growing in size and complexity, developers tend to spend nearly $90 \%$ (Wan et al., 2018) effort on software maintenance (e.g., version iteration and bug fix) in the completed life cycle of software development. Source code summary, in the form of natural language, plays a critical role in the comprehension and maintenance process and greatly reduces the effort of reading and comprehending programs. However, manually writing code summaries is tedious and timeconsuming, and with the acceleration of software iteration, it has become a heavy burden for software developers. Hence, source code summarization which automates concise descriptions of programs is meaningful. + +Automatic source code summarization is a crucial yet far from the settled problem. The key challenges include: 1) the source code and the natural language summary are heterogeneous, which means they may not share common lexical tokens, synonyms, or language structures and 2) the source code is complex with complicated logic and variable grammatical structure, making it hard to learn the semantics. Conventionally, information retrieval (IR) techniques have been widely used in code summarization (Eddy et al., 2013; Haiduc et al., 2010; Wong et al., 2015; 2013). Since code duplication (Kamiya et al., 2002; Li et al., 2006) is common in “big code” (Allamanis et al., 2018), early works summarize the new programs by retrieving the similar code snippet in the existing code database and use its summary directly. Essentially, the retrieval-based approaches transform the code summarization to the code similarity calculation task, which may achieve promising performance on similar programs, but are limited in generalization, i.e. they have poorer performance on programs that are very different from the code database. + +To improve the generalization performance, recent works focus on generation-based approaches. Some works explore Seq2Seq architectures (Bahdanau et al., 2014; Luong et al., 2015) to generate summaries from the given source code. The Seq2Seq-based approaches (Iyer et al., 2016; Hu et al., 2018a; Alon et al., 2018) usually treat the source code or abstract syntax tree parsed from the source code as a sequence and follow a paradigm of encoder-decoder with the attention mechanism for generating a summary. However, these works only rely on sequential models, which are struggling to capture the rich semantics of source code e.g., control dependencies and data dependencies. In addition, generation-based approaches typically cannot take advantage of similar examples from the retrieval database, as retrieval-based approaches do. + +To better learn the semantics of the source code, Allamanis et al. (Allamanis et al., 2017) lighted up this field by representing programs as graphs. Some follow-up works (Fernandes et al., 2018) attempted to encode more code structures (e.g., control flow, program dependencies) into code graphs with graph neural networks (GNNs), and achieved the promising performance than the sequencebased approaches. Existing works (Allamanis et al., 2017; Fernandes et al., 2018) usually convert code into graph-structured input during preprocessing, and directly consume it via modern neural networks (e.g., GNNs) for computing node and graph embeddings. However, most GNN-based encoders only allow message passing among nodes within a $k$ -hop neighborhood (where $k$ is usually a small number such as 4) to avoid over-smoothing (Zhao & Akoglu, 2019; Chen et al., 2020a), thus capture only local neighborhood information and ignore global interactions among nodes. Even there are some works (Li et al., 2019) that try to address this challenging with deep GCNs (i.e., 56 layers) (Kipf & Welling, 2016) by the residual connection (He et al., 2016), however, the computation cost cannot endure in the program especially for a large and complex program. + +To address these challenges, we propose a framework for automatic code summarization, namely Hybrid GNN (HGNN). Specifically, from the source code, we first construct a code property graph (CPG) based on the abstract syntax tree (AST) with different types of edges (i.e., Flow To, Reach). In order to combine the benefits of both retrieval-based and generation-based methods, we propose a retrieval-based augmentation mechanism to retrieve the source code that is most similar to the current program from the retrieval database (excluding the current program itself), and add the retrieved code as well as the corresponding summary as auxiliary information for training the model. In order to go beyond local graph neighborhood information, and capture global interactions in the program, we further propose an attention-based dynamic graph by learning global attention scores (i.e., edge weights) in the augmented static CPG. Then, a hybrid message passing (HMP) is performed on both static and dynamic graphs. We also release a new code summarization benchmark by crawling data from popular and diversified projects containing $\mathbf { 9 5 k + }$ functions in $C$ programming language and make it public 1. We highlight our main contributions as follows: + +• We propose a general-purpose framework for automatic code summarization, which combines the benefits of both retrieval-based and generation-based methods via a retrieval-based augmentation mechanism. +• We innovate a Hybrid GNN by fusing the static graph (based on code property graph) and dynamic graph (via structure-aware global attention mechanism) to mitigate the limitation of the GNN on capturing global graph information. +• We release a new challenging $C$ benchmark for the task of source code summarization. +• We conduct an extensive experiment to evaluate our framework. The proposed approach achieves the state-of-the-art performance and improves existing approaches by 1.42, 2.44 and 1.29 in terms of BLEU-4, ROUGE-L and METEOR metrics. + +# 2 HYBRID GNN FRAMEWORK + +In this section, we introduce the proposed framework Hybrid GNN (HGNN), as shown in Figure 1, which mainly includes four components: 1) Retrieval-augmented Static Graph Construction $( c . f .$ , Section 2.2), which incorporates retrieved code-summary pairs to augment the original code for learning. 2) Attention-based Dynamic Graph Construction $\cdot c . f .$ , Section 2.3), which allows message passing among any pair of nodes via a structure-aware global attention mechanism. 3) HGNN, $( c . f .$ + +![](images/67270edb63893de2c823bd6b296d28457864a196600edd32ca6318547e24e833.jpg) +Figure 1: The overall architecture of the proposed HGNN framework. + +Section 2.4), which incorporates information from both static graphs and dynamic graphs with Hybrid Message Passing. 4) Decoder $\cdot f .$ , Section 2.5), which utilizes an attention-based LSTM (Hochreiter & Schmidhuber, 1997) model to generate a summary. + +# 2.1 PROBLEM FORMULATION + +In this work, we focus on generating natural language summaries for the given functions (Wan et al., 2018; Zhang et al., 2020). A simple example is illustrated in Listing 1, which is crawled from Linux Kernel. Our goal is to generate the best summary “set the time of day clock” based on the given source code. Formally, we define a dataset as $D = \{ ( c , s ) | c \in C , s \in S \}$ , where $c$ is the source code of a function in the function set $C$ and $s$ represents its targeted summary in the summary set $S$ . The task of code summarization is, given a source code $c$ , to generate the best summary consisting of a sequence of tokens $\hat { s } = ( t _ { 1 } , t _ { 2 } , . . . , t _ { T } )$ that maximizes the conditional likelihood $\hat { s } = \mathrm { a r g m a x } _ { s } P ( s | c )$ . + +![](images/de9e235655b5495ca7886df50a290477a93cacb7df5787c32648c2989857d443.jpg) +Listing 1: An example in our dataset crawled from Linux Kernel. + +# 2.2 RETRIEVAL-AUGMENTED STATIC GRAPH + +# 2.2.1 GRAPH INITIALIZATION + +The source code of a function can be represented as Code Property Graph (CPG) (Yamaguchi et al., 2014), which is built on the abstract syntax tree (AST) with different type of edges (i.e., Flow To, Control, Define/Use, Reach). Formally, one raw function $c$ could be represented by a multi-edged graph $g ( \mathcal { V } , \mathcal { E } )$ , where $\nu$ is the set of AST nodes, $( v , u ) \in \mathcal { E }$ denotes the edge between the node $v$ and the node $u$ . A node $v$ consists of two parts: the node sequence and the node type. An illustrative example is shown in Figure 2. For example, in the red node, $a \% 2 = = 0$ is the node sequence and Condition is the node type. An edge $( v , u )$ has a type, named edge type, e.g., AST type and Flow To type. For more details about the CPG, please refer to Appendix A. + +Initialization Representation. Given a CPG, we utilize a BiLSTM to encode its nodes. We represent each token of the node sequence and each edge type using the learned embedding matrix $E ^ { s e q t o k e n }$ and $E ^ { e d g e t y p e }$ , respectively. Then nodes and edges of the CPG can be encoded as: + +$$ +\begin{array} { r } { h _ { 1 } , . . . , h _ { l } = \mathrm { B i L S T M } ( E _ { v , 1 } ^ { s e q t o k e n } , . . . , E _ { v , l } ^ { s e q t o k e n } ) } \\ { e n c o d e \_ n o d e ( v ) = [ { h } _ { l } ^ { \right. } ; { h } _ { 1 } ^ { \left. } ] \quad \quad } \end{array} +$$ + +![](images/1f65e53fb376534af98285be7a60b636f01f3e756c105b663fcf47da0d26adcb.jpg) +Figure 2: An example of Code Property Graph (CPG). + +where $l$ is the number of tokens in the node sequence of $v$ . For the sake of simplicity, in the following section, we use $h _ { v }$ and $e _ { v , u }$ to represent the embedding of the node $v$ and the edge $( v , u )$ , respectively, i.e., encode_node $( v )$ and encode_edge $( v , u )$ . Given the source code $c$ of a function as well as the CPG $g ( \mathcal { V } , \mathcal { E } )$ , $\pmb { H } _ { c } \in \mathbb { R } ^ { m \times d }$ denotes the initial node matrix of the CPG, where $m$ is the total number of nodes in the CPG and $d$ is the dimension of the node embedding. + +# 2.2.2 RETRIEVAL-BASED AUGMENTATION + +While retrieval-based methods can perform reasonably well on examples that are similar to those examples from a retrieval database, they typically have low generalization performance and might perform poorly on dissimilar examples. On the contrary, generation-based methods usually have better generalization performance, but cannot take advantage of similar examples from the retrieval database. In this work, we propose to combine the benefits of the two worlds, and design a retrieval-augmented generation framework for the task of code summarization. + +In principle, the goal of code summarization is to learn a mapping from source code $c$ to the natural language summary $s = f ( c )$ . In other words, for any source code $c ^ { \prime }$ , a code summarization system can produce its summary $s ^ { \prime } = f ( c ^ { \prime } )$ . Inspired by this observation, conceptually, we can derive the following formulation $s = f ( c ) - f ( c ^ { \prime } ) + s ^ { \prime }$ . This tells us that we can actually compute the semantic difference between $c$ and $c ^ { \prime }$ , and further obtain the desired summary $s$ for $c$ by considering both the above semantic difference and $s ^ { \prime }$ which is the summary for $c ^ { \prime }$ . Mathmatically, our goal becomes to learn a function which takes as input $( c , c ^ { \prime } , s ^ { \prime } )$ , and outputs the summary $s$ for $c$ , that is, $s = g ( c , c ^ { \prime } , s ^ { \prime } )$ . This motivates us to design our Retrieval-based Augmentation mechanism, as detailed below. + +Step 1: Retrieving. For each sample $( c , s ) \in D$ , we retrieve the most similar sample: $( c ^ { \prime } , s ^ { \prime } ) =$ $\underset { . } { \mathrm { a r g m a x } } _ { ( c ^ { \prime } , s ^ { \prime } ) \in D ^ { \prime } } s i m ( \underline { { c } } , c ^ { \prime } )$ , where $c \neq c ^ { \prime }$ , $D ^ { \prime }$ is a given retrieval database and $s i m ( c , c ^ { \prime } )$ is the text similarity. Following Zhang et al. (2020), we utilize Lucene for retrieval and calculate the similarity score $z$ between the source code $c$ and the retrieved code $c ^ { \prime }$ via dynamic programming (Bellman, 1966), namely, $\begin{array} { r } { z = 1 - \frac { d i s ( c , c ^ { \prime } ) } { m a x ( | c | , | c ^ { \prime } | ) } } \end{array}$ , where $d i s ( c , c ^ { \prime } )$ is the text edit distance. + +Step 2: Retrieved Code-based Augmentation. Given the retrieved source code $c ^ { \prime }$ for the current sample $c$ , we adopt a fusion strategy to inject retrieved semantics into the current sample. The fusion strategy is based on their initial graph representations ( ${ \mathbf { } } _ { . } H _ { c }$ and $\pmb { H } _ { c ^ { \prime } }$ ) with an attention mechanism: + +• To capture the relevance between $c$ and $c ^ { \prime }$ , we design an attention function, which computes the attention score matrix $A ^ { a u g }$ based on the embeddings of each pair of nodes in CPGs of $c$ and $c ^ { \prime }$ : + +$$ +A ^ { a u g } \propto \mathrm { e x p } ( \mathrm { R e L U } ( H _ { c } W ^ { C } ) \mathrm { R e L U } ( H _ { c ^ { \prime } } W ^ { Q } ) ^ { T } ) +$$ + +where $W ^ { C } , W ^ { Q } \in \mathbb { R } ^ { d \times d }$ is the weight matrix with $d$ -dim embedding size and ReLU is the rectified linear unit. + +• We then multiply the attention matrix $A ^ { a u g }$ with the retrieved representation $\pmb { H } _ { c ^ { \prime } }$ to inject the retrieved features into $\pmb { H } _ { c }$ : + +$$ +\pmb { H } _ { c } ^ { \prime } = z \pmb { A } ^ { a u g } \pmb { H } _ { c ^ { \prime } } +$$ + +where $z \in [ 0 , 1 ]$ is the similarity score and computed from Step 1, which is introduced to weaken the negative impact of $c ^ { \prime }$ on the original training data $c$ , i.e., when the similarity of $c$ and $c ^ { \prime }$ is low. + +• Finally, we merge $\pmb { H } _ { c } ^ { \prime }$ and the original $\pmb { H } _ { c }$ to get the final representation of $c$ + +$$ +c o m p = H _ { c } + H _ { c } ^ { \prime } +$$ + +where comp is the augmented node representation additionally encoding the retrieved semantics. + +Step 3: Retrieved Summary-based Augmentation. We further encode the retrieved summary $s ^ { \prime }$ with another BiLSTM model. We represent each token $t _ { i } ^ { \prime }$ of $s ^ { \prime }$ using the learned embedding matrix $E ^ { s e q t o k e n }$ . Then $s ^ { \prime }$ can be encoded as: + +$$ +h _ { t _ { 1 } ^ { \prime } } , . . . , h _ { t _ { T } ^ { \prime } } = \mathrm { B i L S T M } ( E _ { t _ { 1 } ^ { \prime } } ^ { s e q t o k e n } , . . . , E _ { t _ { T } ^ { \prime } } ^ { s e q t o k e n } ) +$$ + +where $\boldsymbol { h } _ { t _ { i } ^ { \prime } }$ is the hidden state of the BiLSTM model for the token $t _ { i } ^ { \prime }$ in $s ^ { \prime }$ and $T$ is the length of $s ^ { \prime }$ . We multiply $[ h _ { t _ { 1 } ^ { \prime } } ; . . . ; h _ { t _ { T } ^ { \prime } } ]$ with the similarity score $z$ , computed from Step 1, and concatenate it with the graph encoding results (i.e., the GNN encoder outputs) to obtain the input, namely, [GNNoutput; $z h _ { t _ { 1 } ^ { \prime } } ; . . . ; z h _ { t _ { T } ^ { \prime } } ]$ , to the decoder. + +# 2.3 ATTENTION-BASED DYNAMIC GRAPH + +Due to that GNN-based encoders usually consider the $k$ -hop neighborhood, the global relation among nodes in the static graph (see Section 2.2.1) may be ignored. In order to better capture the global semantics of source code, based on the static graph, we propose to dynamically construct a graph via structure-aware global attention mechanism, which allows message passing among any pair of nodes. The attention-based dynamic graph can better capture the global dependency among nodes, and thus supplement the static graph. + +Structure-aware Global Attention. The construction of the dynamic graph is motivated by the structure-aware self-attention mechanism proposed in Zhu et al. (2019). Given the static graph, we compute a corresponding dense adjacency matrix $A ^ { d y n }$ based on a structure-aware global attention mechanism, and obtain the constructed graph, namely, attention-based dynamic graph. + +$$ +A _ { v , u } ^ { d y n } = \frac { \mathrm { R e L U } ( h _ { v } ^ { T } W ^ { Q } ) ( \mathrm { R e L U } ( h _ { u } ^ { T } W ^ { K } ) + \mathrm { R e L U } ( e _ { v , u } ^ { T } W ^ { R } ) ) ^ { T } } { \sqrt { d } } +$$ + +where $h _ { v } , h _ { u } \in c o m p$ are the augmented node embedding for any node pair $( v , u )$ in the CPG. Note that the global attention considers each pair of nodes of the CPG, regardless of whether there is an edge between them. $e _ { v , u } \in \mathbb { R } ^ { d _ { e } }$ is the edge embedding and $W ^ { Q }$ , $W ^ { \breve { K } } \in \mathbb { R } ^ { d \times d }$ , $W ^ { R } \in \mathbb { R } ^ { d _ { e } \times d }$ are parameter matrices, $d _ { e }$ and $d$ are the dimensions of edge embedding and node embedding, respectively. The adjacency matrix $A ^ { d y n }$ will be further row normalized to obtain $\tilde { A } ^ { d y n }$ , which will be used to compute dynamic message passing (see Section 2.4). + +$$ +\tilde { A } ^ { d y n } = \mathrm { s o f t m a x } ( A ^ { d y n } ) +$$ + +# 2.4 HYBRID GNN + +To better incorporate the information of the static graph and the dynamic graph, we propose the Hybrid Message Passing (HMP), which are performed on both retrieval-augmented static graph and attention-based dynamic graph. + +Static Message Passing. For every node $v$ at each computation hop $k$ in the static graph, we apply an aggregation function to calculate the aggregated vector $\boldsymbol { h } _ { v } ^ { k }$ by considering a set of neighboring node embeddings computed from the previous hop. + +$$ +\pmb { h } _ { v } ^ { k } = \mathrm { S U M } ( \{ \pmb { h } _ { u } ^ { k - 1 } | \forall u \in \mathcal { N } _ { ( v ) } \} ) +$$ + +where $\mathcal { N } _ { ( v ) }$ is a set of the neighboring nodes which are directly connected with $v$ . For each node $v$ $h _ { v } ^ { 0 }$ is the initial augmented node embedding of $v$ , i.e., $\mathbf { \boldsymbol { h } } _ { v } \in c o m p$ . + +Dynamic Message Passing. The node information and edge information are propagated on the attention-based dynamic graph with the adjacency matrices $\check { \tilde { A } } ^ { d y n }$ , defined as + +$$ +\pmb { h } _ { v } ^ { ' k } = \sum _ { u } \tilde { \pmb { A } } _ { v , u } ^ { d y n } ( \pmb { W } ^ { V } \pmb { h } _ { u } ^ { ' k - 1 } + \pmb { W } ^ { F } \pmb { e } _ { v , u } ) +$$ + +where $v$ and $u$ are any pair of nodes, $W ^ { V } \in \mathbb { R } ^ { d \times d }$ , $W ^ { F } \in \mathbb { R } ^ { d \times d _ { e } }$ are learned matrices, and $e _ { v , u }$ is the embedding of the edge connecting $v$ and $u$ . Similarly, $h _ { v } ^ { ' 0 }$ is the initial augmented node embedding of $v$ in comp. + +Hybrid Message Passing. Given the static/dynamic aggregated vectors $h _ { v } ^ { k } / h _ { v } ^ { ' k }$ for static and dynamic graphs, we fuse both vectors and feed the resulting vector to a Gated Recurrent Unit (GRU) to update node representations. + +$$ +\pmb { f } _ { v } ^ { k } = \mathrm { G R U } ( \pmb { f } _ { v } ^ { k - 1 } , \mathrm { F u s e } ( \pmb { h } _ { v } ^ { k } , \pmb { h } _ { v } ^ { ' k } ) ) +$$ + +where $\pmb { f } _ { v } ^ { 0 }$ is the augmented node initialization in comp. The fusion function Fuse is designed as a gated sum of two inputs. + +$$ +\begin{array} { r l } { \operatorname { F u s e } ( \pmb { a } , \pmb { b } ) = z \odot \pmb { a } + ( 1 - z ) \odot \pmb { b } } & { { } z = \sigma ( W _ { z } [ \pmb { a } ; \pmb { b } ; \pmb { a } \odot \pmb { b } ; \pmb { a } - \pmb { b } ] + b _ { z } ) } \end{array} +$$ + +where $W _ { z }$ and $b _ { z }$ are learnable weight matrix and vector, $\odot$ is the component-wise multiplication, $\sigma$ is a sigmoid function and $_ { z }$ is a gating vector. After $n$ hops of GNN computation, we obtain the final node representation $f _ { v } ^ { n }$ and then apply max-pooling over all nodes $\{ f _ { v } ^ { n } | \forall v \in \mathcal { V } \}$ to get the graph representation. + +# 2.5 DECODER + +The decoder is similar with other state-of-the-art Seq2seq models (Bahdanau et al., 2014; Luong et al., 2015) where an attention-based LSTM decoder is used. The decoder takes the input of the concatenation of the node representation and the representation of the retrieved summary $s ^ { \prime }$ , namely, $[ f _ { v _ { 1 } } ^ { n } ; . . . ; f _ { v _ { m } } ^ { n } ; z h _ { t _ { 1 } ^ { \prime } } ; . . . ; z h _ { t _ { T } ^ { \prime } } ] ,$ , where $m$ is the number of nodes in the input CPG graph. The initial hidden state of the decoder is the fusion (Eq. 11) of the graph representation and the weighted (i.e., multiply similarity score $z$ ) final state of the retrieved summary BiLSTM encoder. + +We train the model with the cross-entropy loss, defined as $\begin{array} { r } { \mathcal { L } = \sum _ { t } - \log P ( s _ { t } ^ { * } | c , s _ { < t } ^ { * } ) } \end{array}$ , where $s _ { t } ^ { * }$ is the word at the $t$ -th position of the ground-truth output and $c$ is the source code of the function. To alleviate the exposure bias, we utilize schedule teacher forcing (Bengio et al., 2015). During the inference, we use beam search to generate final results. + +# 3 EXPERIMENTS + +# 3.1 SETUP + +We evaluate our proposed framework against a number of state-of-the-art methods. Specifically, we classify the selected baseline methods into three groups: 1) Retrieval-based approaches: TFIDF (Haiduc et al., 2010) and NNGen (Liu et al., 2018), 2) Sequence-based approaches: CODENN (Iyer et al., 2016; Barone & Sennrich, 2017), Transformer (Ahmad et al., 2020), HybridDRL (Wan et al., 2018), Rencos (Zhang et al., 2020) and Dual model (Wei et al., 2019), 3) Graphbased approaches: SeqGNN (Fernandes et al., 2018). In addition, we implemented two another graph-based baselines: GCN2Seq and GAT2Seq, which respectively adopt the Graph Convolution (Kipf & Welling, 2016) and Graph Attention (Velickovic et al., 2018) as the encoder and a LSTM as the decoder for generating summaries. Note that Rencos (Zhang et al., 2020) combines the retrieval information into Seq2Seq model, we classify it into Sequence-based approaches. More detailed description about baselines and the configuration of HGNN can be found in the Appendix B and C. + +Existing benchmarks (Barone & Sennrich, 2017; Hu et al., 2018b) are all based on high-level programming language i.e., Java, Python. Furthermore, they have been confirmed to have extensive duplication, making the model overfit to the training data that overlapped with the testset (Fernandes et al., 2018; Allamanis, 2019). We are the first to explore neural summarization on $C$ programming language, and make our $C$ Code Summarization Dataset (CCSD) public to benefit academia and industry. We crawled from popular $C$ repositories on GitHub and extracted function-summary pairs based on the documents of functions. After a deduplication process, we kept $\mathbf { 9 5 k + }$ unique functionsummary pairs. To further test the model generalization ability, we construct in-domain functions and out-of-domain functions by dividing the projects into two sets, denoted as $a$ and $b$ . For each project in $a$ , we randomly select some of the functions in this project as the training data and the unselected functions are the in-domain validation/test data. All functions in projects $b$ are regarded as out-of-domain test data. Finally, we obtain 84,316 training functions, 4,432 in-domain validation functions, 4,203 in-domain test functions and 2,330 out-of-domain test functions. For the retrieval augmentation, we use the training set as the retrieval database, i.e., $D ^ { \prime } = D$ (see Step 1 in Section 2.2.2). For more details about data processing, please refer to Appendix D. + +Table 1: Automatic evaluation results (in $\%$ ) on the CCSD test set. + +
MethodsIn-domainOut-of-domainOverall
BLEU-4ROUGE-L METEORBLEU-4 ROUGE-L METEORBLEU-4ROUGE-L METEOR
TF-IDF15.2027.9813.745.5015.376.8412.1923.4911.43
NNGen15.9728.1413.825.7416.337.1812.7623.9311.58
CODE-NN10.0826.1711.333.8615.256.198.2422.289.61
Hybrid-DRL9.2930.0012.476.3024.1910.308.4228.6411.73
Transformer12.9128.0413.835.7518.629.8910.6924.6512.02
Dual Model11.4929.2013.245.2521.319.149.6126.4011.87
Rencos14.8031.4114.647.5423.1210.3512.5928.4513.21
GCN2Seq9.7926.5911.654.0618.967.767.9123.6710.23
GAT2Seq10.5226.1711.883.8016.946.738.2922.6310.00
SeqGNN10.5129.8413.144.9420.809.508.8726.3411.93
HGNN w/oaugment& static11.7529.5913.865.5722.149.419.9826.9412.05
HGNN w/o augment & dynamic11.8529.5113.545.4521.899.599.9326.8012.21
HGNN w/o augment12.3329.9913.785.4522.079.4610.2627.1712.32
HGNN w/o static15.9333.6715.677.7224.6910.6313.4430.4713.98
HGNN w/o dynamic15.7733.8415.677.6424.7210.7313.3130.5914.01
HGNN16.7234.2916.257.8524.7411.0514.0130.8914.50
+ +Similar to previous works (Zhang et al., 2020; Wan et al., 2018; Fernandes et al., 2018; Iyer et al., 2016), BLEU (Papineni et al., 2002), METEOR (Banerjee & Lavie, 2005) and ROUGE-L (Lin, 2004) are used as our automatic evaluation metrics. These metrics are popular for evaluating machine translation and text summarization tasks. Except for these automatic metrics, we also conduct a human evaluation study. We invite $5 \mathrm { P h D }$ students and 10 master students as volunteers, who have rich C programming experiences. The volunteers are asked to rank summaries generated from the anonymized approaches from 1 to 5 (i.e., 1: Poor, 2: Marginal, 3: Acceptable, 4: Good, 5: Excellent) based on the relevance of the generated summary to the source code and the degree of similarity between the generated summary and the actual summary. Specifically, we randomly choose 50 functions for each model with the corresponding generated summaries and ground-truths. We calculate the average score and the higher the score, the better the quality. + +# 3.2 COMPARISON WITH THE BASELINES + +Table 1 shows the evaluation results including two parts: the comparison with baselines and the ablation study. Consider the comparison with state-of-the-art baselines, in general, we find that our proposed model outperforms existing methods by a significant margin on both in-domain and out-of-domain datasets, and shows good generalization performance. Compared with others, on in-domain dataset, the retrieval-based approaches could achieve competitive performance on BLEU-4, however ROUGE-L and METEOR are fare less than ours. Moreover, they do not perform well on the out-of-domain dataset. Compared with the graph-based approaches (i.e., GCN2Seq, GAT2Seq and SeqGNN), even without augmentation (HGNN w/o augment), our approach still outperforms them, which further demonstrates the effectiveness of Hybrid GNN for additionally capturing global graph information. Compared with Rencos that also considers the retrieved information in the Seq2Seq model, its performance is still lower than HGNN. On the overall dataset including both of in-domain and out-of-domain data, our model achieves 14.01, 30.89 and 14.50, outperforming current state-of-the-art method Rencos by 1.42, 2.44 and 1.29 in terms of BLEU-4, ROUGE-L and METEOR metrics. + +# 3.3 ABLATION STUDY + +We also conduct an ablation study to evaluate the impact of different components of our framework, e.g., retrieval-based augmentation, static graph and dynamic graph in the last row of Table 1. Overall, we found that 1) retrieval-augmented mechanism could contribute to the overall model performance (HGNN vs. HGNN w/o augment). Compared with HGNN, we see that the performance of HGNN w/o static and HGNN w/o dynamic decreases, which demonstrates the effectiveness of the Hybrid GNN and 2) the performance without static graph is worse than the performance without dynamic graph in ROUGE-L and METEOR, however, BLEU-4 is higher than the performance without dynamic graph. To further understand the impact of the static graph and dynamic graph, we evaluate the performance without augmentation and static graph/dynamic graph (see HGNN w/o augment& static and HGNN w/o augment& dynamic). Compared with HGNN w/o augment, the results further confirm the effectiveness of the Hybrid GNN (i.e., static graph and dynamic graph). + +Table 2: Human evaluation results on the CCSD test set. + +
MetricsNNGenTransformerRencosSeqGNNHGNN
Relevance3.233.173.483.093.69
Similarity3.183.023.323.063.51
+ +Table 3: Examples of generated summaries on the CCSD test set. + +
ExampleExample 1Example 2
Source Codestatic void strInit(Str *p){p->z = 0;p->nAlloc = 0;p->nUsed = 0;}void ReleaseCedar(CEDAR *c){if (c == NULL)return;if((Release(c->ref) == 0)CleanupCedar(c);1
Ground-Truthinitializeastr objectrelease reference of the cedar
NNGenfree the stringrelease the virtual host
Transformerreset a stringrelease of the cancel object
Rencosappend araw string to the jsonstringrelease of the cancel object
SeqGNNinitialize the stringrelease cedarcommunication mode
HGNNinitializeastringobjectreleasereferenceofcedar
+ +We also conduct experiments to investigate the impact of code-based augmentation and summarybased augmentation. Overall, we found that the summary-based augmentation could contribute more than the code-based augmentation. For example, after adding the code-based augmentation, the performance can be 10.22, 27.54 and 12.49 in terms of BLUE-4, ROUGE-L and METEOR on the overall dataset. With the summary-based augmentation, the results can reach to 13.76, 30.59 and 14.11. Compared with the results without augmentation (i.e., 10.26. 27.17, 12.32 with $H G N N w / o$ augment), we can see that code-based augmentation could have some improvement, but the effect is not significant compared with summary-based augmentation. We conjecture that, due to that the code and summary are heterogeneous, the summary-based augmentation has a more direct impact on the code summarization task. When combining both code-based augmentation and summary-based augmentation, we can achieve the best results (i.e., 14.01, 30.89, 14.50). We plan to explore more code-based augmentation (e.g., semantic-equivalent code transformation) in our future work. + +# 3.4 HUMAN EVALUATION + +As shown in Table 2, we perform a human evaluation on the overall dataset to assess the quality of the generated summaries by our approach, NNGen, Transformer, Rencos and SeqGNN in terms of relevance and similarity. As depicted in Table 1, NNGen, Rencos and SeqGNN are the best retrieval-based, sequence-based, and graph-based approaches, respectively. We also compare with Transformer as it has been widely used in natural language processing. The results show that our method can generate better summaries which are more relevant with the source code and more similar with the ground-truth summaries. + +# 3.5 CASE STUDY + +To perform qualitative analysis, we present two examples with generated summaries by different methods from the overall data set, shown in Table 3. We can see that, in the first example, our approach can learn more code semantics, i.e., $p$ is a self-defined struct variable. Thus, we could generate a token object for the variable $p$ . However, other models can only produce string. Example 2 is a more difficult function with the functionality to “release reference of cedar”, as compared to other baselines, our approach effectively captures the functionality and generates a more precise summary. + +# 3.6 EXTENSION ON THE PYTHON DATASET + +We conducted additional experiments on a public dataset, i.e., the Python Code Summarization Dataset (PCSD), which was also used in Rencos (the most competitive baseline in our paper). We follow the setting of Rencos and split PCSD into the training set, validation set and testing set with fractions of $60 \%$ , $20 \%$ and $20 \%$ . We construct the static graph based on AST. The decoding step is set to 50, followed by Rencos, and the other settings are the same with CCSD. We compare our methods on PCSD against various competitive baselines, i.e., NNGen, CODE-NN, Rencos and + +Table 4: Automatic evaluation results (in $\%$ ) on the PCSD test set. + +
MethodsBLEU-4ROUGE-LMETEOR
NNGen21.6031.6115.96
CODE-NN16.3928.9913.68
Transformer17.0631.1614.37
Rencos24.0236.2118.07
HGNN w/ostatic24.0638.2818.66
HGNN w/o dynamic24.1338.6418.93
HGNN24.4239.9119.48
+ +Transformer, which are either retrieval-based, generation-based or hybrid methods. The results are shown in Table 4. The results indicate that, compared with the best results from NNGen, CODE-NN, Rencos and Transformer, our method can improve the performance by 0.40, 3.70 and 1.41 in terms of BLEU-4, ROUGE-L and METEOR. We also conduct the ablation study on PCSD to demonstrate the usefulness of the static graph (i.e., HGNN w/o dynamic) and dynamic graph (i.e., HGNN w/o static). The results also demonstrate that both static graph and dynamic graph can contribute to our framework. In summary, the results on both our released benchmark (CCSD) and existing benchmark (PCSD) demonstrate the effectiveness and the scalability of our method. + +# 4 RELATED WORK + +Source Code Summarization Early works (Eddy et al., 2013; Haiduc et al., 2010; Wong et al., 2015; 2013) for code summarization focused on using information retrieval to retrieve summaries. Later works attempted to employ attentional Seq2Seq model on the source code (Iyer et al., 2016; Siow et al., 2020) or some variants, i.e., AST (Hu et al., 2018a; Alon et al., 2018; Liu et al., 2020) for generation. However, these works are based on sequential models, ignoring rich code semantics. Some latest attempts (LeClair et al., 2020; Fernandes et al., 2018) embedded program semantics into GNNs. but they mainly rely on simple representations, which are limited to learn full semantics. + +Graph Neural Networks Over the past few years, GNNs (Li et al., 2015; Hamilton et al., 2017; Kipf & Welling, 2016; Chen et al., 2020b) have attracted increasing attention with many successful applications in computer vision (Norcliffe-Brown et al., 2018), natural language processing (Xu et al., 2018a; Chen et al., 2020d;c;e). Because by design GNNs can model graph-structured data, recently, some works have extended the widely used Seq2Seq architectures to Graph2Seq architectures for various tasks including machine translation (Beck et al., 2018), and graph (e.g., AMR, SQL)-to-text generation (Zhu et al., 2019; Xu et al., 2018b). Some works have also attempted to encode programs with graphs for diverse tasks e.g., VARNAMING/VARMISUSE (Allamanis et al., 2017), Source Code Vulnerability Detection (Zhou et al., 2019). As compared to these works, we innovate a hybrid message passing GNN performed on both static graph and dynamic graph for message fusion. + +# 5 CONCLUSION AND FUTURE WORK + +In this paper, we proposed a general-purpose framework for automatic code summarization. A novel retrieval-augmented mechanism is proposed for combining the benefits of both retrieval-based and generation-based approaches. Moreover, to capture global semantics among nodes, we develop a hybrid message passing GNN based on both static and dynamic graphs. The evaluation shows that our approach improves state-of-the-art techniques substantially. Our future work includes: 1) we plan to introduce more information such as API knowledge to learn the better semantics of programs, 2) we explore more code-based augmentation techniques to improve the performance and 3) we plan to adopt the existing techniques such as (Du et al., 2019; Xie et al., 2019a;b; Ma et al., 2018) to evaluate the robustness of the trained model. + +# 6 ACKNOWLEDGMENTS + +This research is partially supported by the National Research Foundation, Singapore under its the AI Singapore Programme (AISG2-RP-2020-019), the National Research Foundation, Prime Ministers Office, Singapore under its National Cybersecurity R&D Program (Award No. NRF2018NCRNCR005-0001), NRF Investigatorship NRF-NRFI06-2020-0001, the National Research Foundation through its National Satellite of Excellence in Trustworthy Software Systems (NSOE-TSS) project under the National Cybersecurity R&D (NCR) Grant award no. 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Pairnorm: Tackling oversmoothing in gnns. arXiv preprint arXiv:1909.12223, 2019. + +Yaqin Zhou, Shangqing Liu, Jingkai Siow, Xiaoning Du, and Yang Liu. Devign: Effective vulnerability identification by learning comprehensive program semantics via graph neural networks. In Advances in Neural Information Processing Systems, pp. 10197–10207, 2019. + +Jie Zhu, Junhui Li, Muhua Zhu, Longhua Qian, Min Zhang, and Guodong Zhou. Modeling graph structure in transformer for better amr-to-text generation. arXiv preprint arXiv:1909.00136, 2019. + +# Appendices + +A DETAILS ON CODE PROPERTY GRAPH + +Code Property Graph (CPG) (Yamaguchi et al., 2014), which is constructed on abstract syntax tree (AST), combines different edges (i.e., Flow to, Control) to represent the semantics of the program. We describe each representation combining with Figure 2 as follows: + +• Abstract Syntax Tree (AST). AST contains syntactic information for a program and omits irrelevant details that have no effect on the semantics. Figure 2 shows the completed AST nodes on the left simple program and each node has a code sequence in the first line and type attribute in the second line. The black arrows represent the child-parent relations among ASTs. + +• Control Flow Graph (CFG). Compared with AST highlighting the syntactic structure, CFG displays statement execution order, i.e., the possible order in which statements may be executed and the conditions that must be met for this to happen. Each statement in the program is treated as an independent node as well as a designated entry and exit node. Based on the keywords $i f , f o r$ , goto, break and continue, control flow graphs can be easily built and “Flow to” with green dashed arrows in Figure 2 represents this flow order. + +• Program Dependency Graph (PDG). PDG includes data dependencies and control dependencies: 1) data dependencies are described as the definition of a variable in a statement reaches the usage of the same variable at another statement. In Figure 2, the variable $\mathbf { \nabla } ^ { 6 }$ is defined in the statement “int $b = a { + } { + } ^ { \prime \prime }$ and used in “call $( b ) ^ { \dagger }$ . Hence, there is a “Reach” edge with blue arrows point from “int $b = a { + } { + } ^ { , , , }$ to “call $( b ) ^ { \dagger }$ . Furthermore, Define/Use edge with orange double arrows denotes the definition and usage of the variable. 2) different from CFG displaying the execution process of the complete program, control dependencies define the execution of a statement may be dependent on the value of a predicate, which more focus on the statement itself. For instance, the statements “int $b = a { + } { + } ^ { \prime \prime }$ and “call(b)” are only performed “if a is even”. Therefore, a red double arrow “Control” points from $\begin{array} { r } { \cdot \bullet _ { i f } ( a \ \mathcal { I } _ { o } \ : 2 ) = = O ^ { \ast } } \end{array}$ to “int $b = a { + } { + } ^ { , , , }$ and “call(b)”. + +# B DETAILS ON BASELINE METHODS + +We compare our approach with existing baselines. They can be divided into three groups: Retrievalbased approaches, Sequence-based approaches and Graph-based approaches. For papers that provide the source code, we directly reproduce their methods on CCSD dataset. Otherwise, we reimplement their approaches with reference to the papers. + +# B.1 RETRIEVAL-BASED APPROACHES + +TF-IDF (Haiduc et al., 2010) is the abbreviation of Term Frequency-Inverse Document Frequency, which is adopted in the early code summarization (Haiduc et al., 2010). It transforms programs into weight vectors by calculating term frequency and inverse document frequency. We retrieve the summary of the most similar programs by calculating the cosine similarity on the weighted vectors. + +NNGen (Liu et al., 2018) is a retrieved-based approach to produce commit messages for code changes. We reproduce such an algorithm on code summarization. Specifically, we retrieve the most similar top- $\mathbf { \nabla } \cdot \mathbf { k }$ code snippets on a bag-of-words model and prioritizes the summary in terms of BLEU-4 scores in top-k code snippets. + +# B.2 SEQUENCE-BASED APPROACHES + +CODE-NN (Iyer et al., 2016; Barone & Sennrich, 2017) adopts an attention-based Seq2Seq model to generate summaries on the source code. + +Transformer (Ahmad et al., 2020) adopts the transformer architecture (Vaswani et al., 2017) with self-attention to capture long dependency in the code for source code summrization. + +Hybrid-DRL (Wan et al., 2018) is a reinforcement learning-based approach, which incorporates AST and sequential code snippets into a deep reinforcement learning framework and employ evaluation metrics e.g., BLEU as the reward. + +Dual Model (Wei et al., 2019) propose a dual training framework by training code summarization and code generation tasks simultaneously to boost each task performance. + +Rencos (Zhang et al., 2020) is the retrieval-based Seq2Seq model for code summarization. it utilized a pretrained Seq2Seq model during the testing phase by computing a joint probability conditioned on both the original source code and retrieved the most similar source code for the summary generation. Compared with Rencos, we propose a novel retrieval-augmented mechanism for the similar source code and use it at the model training phase. + +# B.3 GRAPH-BASED APPROACHES + +We also compared with some latest GNN-based works, employing graph neural network for source code summarization. + +GCN2Seq, GAT2Seq modify Graph Convolution Network (Kipf & Welling, 2016) and Graph Attention Network (Velickovic et al., 2018) to perform convolution operation and attention operation on the code property graph for learning and followed by a LSTM to generate summaries. We implement the related code from scratch. + +SeqGNN (Fernandes et al., 2018) combines GGNNs and standard sequence encoders for summarization. They take the code and relationships between elements of the code as input. Specially, a BiLSTM is employed on the code sequence to learn representations and each source code token is modelled as a node in the graph, and employed GGNN for graph-level learning. Since our node sequences are sub-sequence of source code rather than individual token, we adjust to slice the output of BiLSTM and sum each token representation in node sequences as node initial representation for summarization. Furthermore, we implement the related code from scratch. + +# C MODEL SETTINGS + +We embed the most frequent 40,000 words in the training set with 512-dims and set the hidden size of BiLSTM to 256 and the concatenated state size for both directions is 512. The dropout is set to 0.3 after the word embedding layer and BiLSTM. We set GNN hops to 1 for the best performance. The optimizer is selected with Adam with an initial learning rate of 0.001. The batch size is set to 64 and early stop for 10. The beam search width is set to 5 as usual. All experiments are conducted on the DGX server with four Nvidia Graphics Tesla V100 and each epoch takes 6 minutes averagely. All hyperparameters are tuned with grid search on the validation set. + +# D DETAILS ON DATA PREPARATION + +It is non-trivial to obtain high-quality datasets for code summarization. We noticed that despite some previous works (Barone & Sennrich, 2017; Hu et al., 2018b) released their datasets, however, they are all based on high-level programming languages i.e. Java, Python. We are the first to explore summarization on $C$ programming language. Specifically, we crawled from popular $C$ repositories (e.g., Linux and QEMU) on GitHub, and then extracted separate function-summary pairs from these projects. Specifically, we extracted functions and associated comments marked by special characters $" / \ast * \ast "$ and $" * / "$ over the function declaration. These comments can be considered as explanations of the functions. We filtered out functions with line exceeding 1000 and any other comments inside the function, and the first sentence was selected as the summary. A similar practice can be found in (Jiang et al., 2017). Totally, we collected $\mathbf { 5 0 0 k + }$ raw function-summary pairs. Furthermore, functions with token size greater than 150 were removed for computational efficiency and there were $\mathbf { 1 3 0 k + }$ functions left. Since duplication is very common in existing datasets (Fernandes et al., 2018), followed by Allamanis (2019), we performed a de-duplication process and removed functions with similarity over $80 \%$ . Specifically, we calculated the cosine similarity by encoding the raw functions into vectors with sklearn. Finally, we kept $\mathbf { 9 5 k + }$ unique functions. We name this dataset $C$ Code Summarization Dataset (CCSD). To testify model generalization ability, we randomly selected some projects as the out-of-domain test set with 2,330 examples and the remaining were randomly split into train/validation/test with 84,316/4,432/4,203 examples. The open-source code analysis platform Joern (Yamaguchi et al., 2014) was applied to construct the code property graph. + +Table 5: More Examples of generated summaries on the CCSD test set. + +
ExampleExample 1Example 2
Source Codestatic void counterMutexFree(sqlite3_mutex *p){assert(g.isInit);g.m.xMutexFree (p->pReal);if(p->eType==SQLITE_MUTEX_FASTI1 p->eType==s QLITE_MUTEX_RECURSIVE){free(p);1}static void _exit wimax_subsys_exit (void){wimax_id_table_release();genl_unregister_family(&wimax_gnl_family);}
Ground-Truthfree a countable mutexshutdown the wimax stack
NNGenenter a countable mutexunregisters pmcraid event family return value none
Transformerleaveamutexde initialize wimax driver
Rencostry to enter a mutexunregister the wimax device subsystem
SeqGNNfree a mutex allocated bysqlite3 mutexthis function is called when the driver is not held
HGNNreleasea mutexfree the wimax stack
Retrieved_code static int counterMutexTry(sqlite3_mutex *p){assert(g.isInit );assert(p->eType>=0 );assert(p->eType<MAX_MUTEXES);g.aCounter[p->eType]++;if(g.disableTry)return SQLITE_BUSY;return g.m.xMutexTry(p->pReal);}static int _init wimax_subsys_init(void){int result;d_fnstart(4,NULL,"()\n");d_parse_params(D_LEVEL,D_LEVEL_SIZE,wimax_debug_params,"wimax.debug");result = genl_register_family(&wimax_gnl_family);if(unlikely(result<0)){pr_err("cannot register genericnetlink family: %d\n", result);goto error_register_family;}d_fnend(4,NULL,"()= O\n");return 0;error_register_family:d_fnend(4,NULL,"()= %d\n",result);return result;1
Retrieved_summarytryto enter amutexshutdown the wimax stack
ExampleExample 3Example 4
Source Codestatic void udc_dd_free(struct lpc32xx_udc *udc,struct lpc32xx_usbd_dd_gad *dd){dma_pool_free(udc->dd_cache,dd,dd->this_dma);}void ReleaseSockEvent(SOCK_EVENT *event){if (event == NULL){return;1if(Release(event->ref) == 0){CleanupSockEvent (event);}1
Ground-Truthfree a dma descriptorrelease of the socket event
NNGenallocateadmadescriptorclean up of the socket event
Transformerfree the usb deviceset the event
Rencosallocatea dma descriptorset of the sock event
SeqGNNfree dma buffersrelease of the socket
HGNNfreeadma descriptorrelease the sock event
Retrieved_codestatic struct lpc32xx_usbd_dd_gad*udc_dd_alloc(structlpc32xx_udc *udc){dma_addr_t dma;struct lpc32xx_usbd_dd_gad *dd;dd =dma_pool_alloc(udc->dd_cache,GFP_ATOMIC|GFP_DMA,&dma);if (dd)dd->this_dma = dma;return dd;1void SetL2TPServerSockEvent(L2TP_SERVER *12tp,SOCK_EVENT *e){if (12tp == NULL){return;}if (e != NULL){AddRef(e->ref);}if(12tp->SockEvent != NULL){ReleaseSockEvent (12tp->SockEvent);12tp->SockEvent = NULL;}12tp->SockEvent = e;}
Retrieved_summaryallocatea dma descriptorset a sock event to the l2tp server
+ +# E MORE EXAMPLES + +We show more examples along with the retrieved code and summary by dynamic programming in Table 5 and we can find that HGNN can generate more high-quality summries based on our approach. \ No newline at end of file diff --git a/parse/train/zv-typ1gPxA/zv-typ1gPxA_content_list.json b/parse/train/zv-typ1gPxA/zv-typ1gPxA_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..820cff37b0d0ddb66baa27ea9e31ddead1ffc94b --- /dev/null +++ b/parse/train/zv-typ1gPxA/zv-typ1gPxA_content_list.json @@ -0,0 +1,2049 @@ +[ + { + "type": "text", + "text": "RETRIEVAL-AUGMENTED GENERATION FOR CODE SUMMARIZATION VIA HYBRID GNN ", + "text_level": 1, + "bbox": [ + 176, + 99, + 823, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Shangqing Liu1∗, Yu Chen2†, Xiaofei Xie1†, Jingkai Siow1, Yang Liu1 \n1 Nanyang Technology University \n2 Rensselaer Polytechnic Institute ", + "bbox": [ + 183, + 167, + 643, + 213 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 250, + 544, + 265 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Source code summarization aims to generate natural language summaries from structured code snippets for better understanding code functionalities. However, automatic code summarization is challenging due to the complexity of the source code and the language gap between the source code and natural language summaries. Most previous approaches either rely on retrieval-based (which can take advantage of similar examples seen from the retrieval database, but have low generalization performance) or generation-based methods (which have better generalization performance, but cannot take advantage of similar examples). This paper proposes a novel retrieval-augmented mechanism to combine the benefits of both worlds. Furthermore, to mitigate the limitation of Graph Neural Networks (GNNs) on capturing global graph structure information of source code, we propose a novel attention-based dynamic graph to complement the static graph representation of the source code, and design a hybrid message passing GNN for capturing both the local and global structural information. To evaluate the proposed approach, we release a new challenging benchmark, crawled from diversified large-scale open-source $C$ projects (total $\\mathbf { 9 5 k + }$ unique functions in the dataset). Our method achieves the state-of-the-art performance, improving existing methods by 1.42, 2.44 and 1.29 in terms of BLEU-4, ROUGE-L and METEOR. ", + "bbox": [ + 233, + 284, + 766, + 532 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 564, + 336, + 580 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "With software growing in size and complexity, developers tend to spend nearly $90 \\%$ (Wan et al., 2018) effort on software maintenance (e.g., version iteration and bug fix) in the completed life cycle of software development. Source code summary, in the form of natural language, plays a critical role in the comprehension and maintenance process and greatly reduces the effort of reading and comprehending programs. However, manually writing code summaries is tedious and timeconsuming, and with the acceleration of software iteration, it has become a heavy burden for software developers. Hence, source code summarization which automates concise descriptions of programs is meaningful. ", + "bbox": [ + 174, + 597, + 825, + 708 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Automatic source code summarization is a crucial yet far from the settled problem. The key challenges include: 1) the source code and the natural language summary are heterogeneous, which means they may not share common lexical tokens, synonyms, or language structures and 2) the source code is complex with complicated logic and variable grammatical structure, making it hard to learn the semantics. Conventionally, information retrieval (IR) techniques have been widely used in code summarization (Eddy et al., 2013; Haiduc et al., 2010; Wong et al., 2015; 2013). Since code duplication (Kamiya et al., 2002; Li et al., 2006) is common in “big code” (Allamanis et al., 2018), early works summarize the new programs by retrieving the similar code snippet in the existing code database and use its summary directly. Essentially, the retrieval-based approaches transform the code summarization to the code similarity calculation task, which may achieve promising performance on similar programs, but are limited in generalization, i.e. they have poorer performance on programs that are very different from the code database. ", + "bbox": [ + 174, + 715, + 825, + 882 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "To improve the generalization performance, recent works focus on generation-based approaches. Some works explore Seq2Seq architectures (Bahdanau et al., 2014; Luong et al., 2015) to generate summaries from the given source code. The Seq2Seq-based approaches (Iyer et al., 2016; Hu et al., 2018a; Alon et al., 2018) usually treat the source code or abstract syntax tree parsed from the source code as a sequence and follow a paradigm of encoder-decoder with the attention mechanism for generating a summary. However, these works only rely on sequential models, which are struggling to capture the rich semantics of source code e.g., control dependencies and data dependencies. In addition, generation-based approaches typically cannot take advantage of similar examples from the retrieval database, as retrieval-based approaches do. ", + "bbox": [ + 174, + 103, + 825, + 228 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To better learn the semantics of the source code, Allamanis et al. (Allamanis et al., 2017) lighted up this field by representing programs as graphs. Some follow-up works (Fernandes et al., 2018) attempted to encode more code structures (e.g., control flow, program dependencies) into code graphs with graph neural networks (GNNs), and achieved the promising performance than the sequencebased approaches. Existing works (Allamanis et al., 2017; Fernandes et al., 2018) usually convert code into graph-structured input during preprocessing, and directly consume it via modern neural networks (e.g., GNNs) for computing node and graph embeddings. However, most GNN-based encoders only allow message passing among nodes within a $k$ -hop neighborhood (where $k$ is usually a small number such as 4) to avoid over-smoothing (Zhao & Akoglu, 2019; Chen et al., 2020a), thus capture only local neighborhood information and ignore global interactions among nodes. Even there are some works (Li et al., 2019) that try to address this challenging with deep GCNs (i.e., 56 layers) (Kipf & Welling, 2016) by the residual connection (He et al., 2016), however, the computation cost cannot endure in the program especially for a large and complex program. ", + "bbox": [ + 174, + 236, + 825, + 416 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To address these challenges, we propose a framework for automatic code summarization, namely Hybrid GNN (HGNN). Specifically, from the source code, we first construct a code property graph (CPG) based on the abstract syntax tree (AST) with different types of edges (i.e., Flow To, Reach). In order to combine the benefits of both retrieval-based and generation-based methods, we propose a retrieval-based augmentation mechanism to retrieve the source code that is most similar to the current program from the retrieval database (excluding the current program itself), and add the retrieved code as well as the corresponding summary as auxiliary information for training the model. In order to go beyond local graph neighborhood information, and capture global interactions in the program, we further propose an attention-based dynamic graph by learning global attention scores (i.e., edge weights) in the augmented static CPG. Then, a hybrid message passing (HMP) is performed on both static and dynamic graphs. We also release a new code summarization benchmark by crawling data from popular and diversified projects containing $\\mathbf { 9 5 k + }$ functions in $C$ programming language and make it public 1. We highlight our main contributions as follows: ", + "bbox": [ + 174, + 422, + 825, + 603 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• We propose a general-purpose framework for automatic code summarization, which combines the benefits of both retrieval-based and generation-based methods via a retrieval-based augmentation mechanism. \n• We innovate a Hybrid GNN by fusing the static graph (based on code property graph) and dynamic graph (via structure-aware global attention mechanism) to mitigate the limitation of the GNN on capturing global graph information. \n• We release a new challenging $C$ benchmark for the task of source code summarization. \n• We conduct an extensive experiment to evaluate our framework. The proposed approach achieves the state-of-the-art performance and improves existing approaches by 1.42, 2.44 and 1.29 in terms of BLEU-4, ROUGE-L and METEOR metrics. ", + "bbox": [ + 173, + 616, + 826, + 773 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 HYBRID GNN FRAMEWORK ", + "text_level": 1, + "bbox": [ + 174, + 795, + 442, + 811 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this section, we introduce the proposed framework Hybrid GNN (HGNN), as shown in Figure 1, which mainly includes four components: 1) Retrieval-augmented Static Graph Construction $( c . f .$ , Section 2.2), which incorporates retrieved code-summary pairs to augment the original code for learning. 2) Attention-based Dynamic Graph Construction $\\cdot c . f .$ , Section 2.3), which allows message passing among any pair of nodes via a structure-aware global attention mechanism. 3) HGNN, $( c . f .$ ", + "bbox": [ + 174, + 827, + 825, + 898 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/67270edb63893de2c823bd6b296d28457864a196600edd32ca6318547e24e833.jpg", + "image_caption": [ + "Figure 1: The overall architecture of the proposed HGNN framework. " + ], + "image_footnote": [], + "bbox": [ + 189, + 103, + 800, + 280 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Section 2.4), which incorporates information from both static graphs and dynamic graphs with Hybrid Message Passing. 4) Decoder $\\cdot f .$ , Section 2.5), which utilizes an attention-based LSTM (Hochreiter & Schmidhuber, 1997) model to generate a summary. ", + "bbox": [ + 174, + 323, + 826, + 366 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.1 PROBLEM FORMULATION ", + "text_level": 1, + "bbox": [ + 174, + 385, + 392, + 398 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this work, we focus on generating natural language summaries for the given functions (Wan et al., 2018; Zhang et al., 2020). A simple example is illustrated in Listing 1, which is crawled from Linux Kernel. Our goal is to generate the best summary “set the time of day clock” based on the given source code. Formally, we define a dataset as $D = \\{ ( c , s ) | c \\in C , s \\in S \\}$ , where $c$ is the source code of a function in the function set $C$ and $s$ represents its targeted summary in the summary set $S$ . The task of code summarization is, given a source code $c$ , to generate the best summary consisting of a sequence of tokens $\\hat { s } = ( t _ { 1 } , t _ { 2 } , . . . , t _ { T } )$ that maximizes the conditional likelihood $\\hat { s } = \\mathrm { a r g m a x } _ { s } P ( s | c )$ . ", + "bbox": [ + 173, + 410, + 826, + 508 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/de9e235655b5495ca7886df50a290477a93cacb7df5787c32648c2989857d443.jpg", + "image_caption": [ + "Listing 1: An example in our dataset crawled from Linux Kernel. " + ], + "image_footnote": [], + "bbox": [ + 246, + 515, + 732, + 602 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 RETRIEVAL-AUGMENTED STATIC GRAPH ", + "text_level": 1, + "bbox": [ + 173, + 651, + 500, + 666 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2.1 GRAPH INITIALIZATION ", + "text_level": 1, + "bbox": [ + 174, + 678, + 395, + 693 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The source code of a function can be represented as Code Property Graph (CPG) (Yamaguchi et al., 2014), which is built on the abstract syntax tree (AST) with different type of edges (i.e., Flow To, Control, Define/Use, Reach). Formally, one raw function $c$ could be represented by a multi-edged graph $g ( \\mathcal { V } , \\mathcal { E } )$ , where $\\nu$ is the set of AST nodes, $( v , u ) \\in \\mathcal { E }$ denotes the edge between the node $v$ and the node $u$ . A node $v$ consists of two parts: the node sequence and the node type. An illustrative example is shown in Figure 2. For example, in the red node, $a \\% 2 = = 0$ is the node sequence and Condition is the node type. An edge $( v , u )$ has a type, named edge type, e.g., AST type and Flow To type. For more details about the CPG, please refer to Appendix A. ", + "bbox": [ + 173, + 702, + 826, + 814 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Initialization Representation. Given a CPG, we utilize a BiLSTM to encode its nodes. We represent each token of the node sequence and each edge type using the learned embedding matrix $E ^ { s e q t o k e n }$ and $E ^ { e d g e t y p e }$ , respectively. Then nodes and edges of the CPG can be encoded as: ", + "bbox": [ + 176, + 819, + 825, + 863 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/08d36eba91fedbc329e9a438cd1f7faef2a68eaf2398cd8df30d9bc48ac5f759.jpg", + "text": "$$\n\\begin{array} { r } { h _ { 1 } , . . . , h _ { l } = \\mathrm { B i L S T M } ( E _ { v , 1 } ^ { s e q t o k e n } , . . . , E _ { v , l } ^ { s e q t o k e n } ) } \\\\ { e n c o d e \\_ n o d e ( v ) = [ { h } _ { l } ^ { \\right. } ; { h } _ { 1 } ^ { \\left. } ] \\quad \\quad } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 346, + 871, + 650, + 910 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/1f65e53fb376534af98285be7a60b636f01f3e756c105b663fcf47da0d26adcb.jpg", + "image_caption": [ + "Figure 2: An example of Code Property Graph (CPG). " + ], + "image_footnote": [], + "bbox": [ + 179, + 98, + 825, + 205 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $l$ is the number of tokens in the node sequence of $v$ . For the sake of simplicity, in the following section, we use $h _ { v }$ and $e _ { v , u }$ to represent the embedding of the node $v$ and the edge $( v , u )$ , respectively, i.e., encode_node $( v )$ and encode_edge $( v , u )$ . Given the source code $c$ of a function as well as the CPG $g ( \\mathcal { V } , \\mathcal { E } )$ , $\\pmb { H } _ { c } \\in \\mathbb { R } ^ { m \\times d }$ denotes the initial node matrix of the CPG, where $m$ is the total number of nodes in the CPG and $d$ is the dimension of the node embedding. ", + "bbox": [ + 174, + 256, + 825, + 327 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.2.2 RETRIEVAL-BASED AUGMENTATION ", + "text_level": 1, + "bbox": [ + 176, + 342, + 478, + 356 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "While retrieval-based methods can perform reasonably well on examples that are similar to those examples from a retrieval database, they typically have low generalization performance and might perform poorly on dissimilar examples. On the contrary, generation-based methods usually have better generalization performance, but cannot take advantage of similar examples from the retrieval database. In this work, we propose to combine the benefits of the two worlds, and design a retrieval-augmented generation framework for the task of code summarization. ", + "bbox": [ + 173, + 364, + 825, + 449 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In principle, the goal of code summarization is to learn a mapping from source code $c$ to the natural language summary $s = f ( c )$ . In other words, for any source code $c ^ { \\prime }$ , a code summarization system can produce its summary $s ^ { \\prime } = f ( c ^ { \\prime } )$ . Inspired by this observation, conceptually, we can derive the following formulation $s = f ( c ) - f ( c ^ { \\prime } ) + s ^ { \\prime }$ . This tells us that we can actually compute the semantic difference between $c$ and $c ^ { \\prime }$ , and further obtain the desired summary $s$ for $c$ by considering both the above semantic difference and $s ^ { \\prime }$ which is the summary for $c ^ { \\prime }$ . Mathmatically, our goal becomes to learn a function which takes as input $( c , c ^ { \\prime } , s ^ { \\prime } )$ , and outputs the summary $s$ for $c$ , that is, $s = g ( c , c ^ { \\prime } , s ^ { \\prime } )$ . This motivates us to design our Retrieval-based Augmentation mechanism, as detailed below. ", + "bbox": [ + 173, + 455, + 825, + 582 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Step 1: Retrieving. For each sample $( c , s ) \\in D$ , we retrieve the most similar sample: $( c ^ { \\prime } , s ^ { \\prime } ) =$ $\\underset { . } { \\mathrm { a r g m a x } } _ { ( c ^ { \\prime } , s ^ { \\prime } ) \\in D ^ { \\prime } } s i m ( \\underline { { c } } , c ^ { \\prime } )$ , where $c \\neq c ^ { \\prime }$ , $D ^ { \\prime }$ is a given retrieval database and $s i m ( c , c ^ { \\prime } )$ is the text similarity. Following Zhang et al. (2020), we utilize Lucene for retrieval and calculate the similarity score $z$ between the source code $c$ and the retrieved code $c ^ { \\prime }$ via dynamic programming (Bellman, 1966), namely, $\\begin{array} { r } { z = 1 - \\frac { d i s ( c , c ^ { \\prime } ) } { m a x ( | c | , | c ^ { \\prime } | ) } } \\end{array}$ , where $d i s ( c , c ^ { \\prime } )$ is the text edit distance. ", + "bbox": [ + 173, + 587, + 825, + 666 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Step 2: Retrieved Code-based Augmentation. Given the retrieved source code $c ^ { \\prime }$ for the current sample $c$ , we adopt a fusion strategy to inject retrieved semantics into the current sample. The fusion strategy is based on their initial graph representations ( ${ \\mathbf { } } _ { . } H _ { c }$ and $\\pmb { H } _ { c ^ { \\prime } }$ ) with an attention mechanism: ", + "bbox": [ + 173, + 671, + 825, + 714 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "• To capture the relevance between $c$ and $c ^ { \\prime }$ , we design an attention function, which computes the attention score matrix $A ^ { a u g }$ based on the embeddings of each pair of nodes in CPGs of $c$ and $c ^ { \\prime }$ : ", + "bbox": [ + 173, + 726, + 823, + 753 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/c428639d8da44b987da3f063efed2d2ca79ff16892a23a187dedc7fb15a49bc8.jpg", + "text": "$$\nA ^ { a u g } \\propto \\mathrm { e x p } ( \\mathrm { R e L U } ( H _ { c } W ^ { C } ) \\mathrm { R e L U } ( H _ { c ^ { \\prime } } W ^ { Q } ) ^ { T } )\n$$", + "text_format": "latex", + "bbox": [ + 341, + 757, + 673, + 776 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $W ^ { C } , W ^ { Q } \\in \\mathbb { R } ^ { d \\times d }$ is the weight matrix with $d$ -dim embedding size and ReLU is the rectified linear unit. ", + "bbox": [ + 179, + 780, + 823, + 809 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "• We then multiply the attention matrix $A ^ { a u g }$ with the retrieved representation $\\pmb { H } _ { c ^ { \\prime } }$ to inject the retrieved features into $\\pmb { H } _ { c }$ : ", + "bbox": [ + 174, + 813, + 825, + 840 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/eba2d30227ca1079393eee3cbbbe42fbbc0f184396a9dc76f5bad2af2ffb631b.jpg", + "text": "$$\n\\pmb { H } _ { c } ^ { \\prime } = z \\pmb { A } ^ { a u g } \\pmb { H } _ { c ^ { \\prime } }\n$$", + "text_format": "latex", + "bbox": [ + 447, + 838, + 566, + 856 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $z \\in [ 0 , 1 ]$ is the similarity score and computed from Step 1, which is introduced to weaken the negative impact of $c ^ { \\prime }$ on the original training data $c$ , i.e., when the similarity of $c$ and $c ^ { \\prime }$ is low. ", + "bbox": [ + 176, + 858, + 825, + 886 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "• Finally, we merge $\\pmb { H } _ { c } ^ { \\prime }$ and the original $\\pmb { H } _ { c }$ to get the final representation of $c$ ", + "bbox": [ + 176, + 888, + 694, + 905 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/4ecc83464ba113268b9ebff07ede497083f8365494a397e91eb8c84769e7fc5c.jpg", + "text": "$$\nc o m p = H _ { c } + H _ { c } ^ { \\prime }\n$$", + "text_format": "latex", + "bbox": [ + 439, + 907, + 575, + 925 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where comp is the augmented node representation additionally encoding the retrieved semantics. ", + "bbox": [ + 181, + 103, + 825, + 119 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Step 3: Retrieved Summary-based Augmentation. We further encode the retrieved summary $s ^ { \\prime }$ with another BiLSTM model. We represent each token $t _ { i } ^ { \\prime }$ of $s ^ { \\prime }$ using the learned embedding matrix $E ^ { s e q t o k e n }$ . Then $s ^ { \\prime }$ can be encoded as: ", + "bbox": [ + 174, + 128, + 825, + 174 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/947ec0a761a61af0a9cd30f9a00479b87f0ad9f002ee05c870011e1a42b7305d.jpg", + "text": "$$\nh _ { t _ { 1 } ^ { \\prime } } , . . . , h _ { t _ { T } ^ { \\prime } } = \\mathrm { B i L S T M } ( E _ { t _ { 1 } ^ { \\prime } } ^ { s e q t o k e n } , . . . , E _ { t _ { T } ^ { \\prime } } ^ { s e q t o k e n } )\n$$", + "text_format": "latex", + "bbox": [ + 328, + 190, + 668, + 213 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\boldsymbol { h } _ { t _ { i } ^ { \\prime } }$ is the hidden state of the BiLSTM model for the token $t _ { i } ^ { \\prime }$ in $s ^ { \\prime }$ and $T$ is the length of $s ^ { \\prime }$ . We multiply $[ h _ { t _ { 1 } ^ { \\prime } } ; . . . ; h _ { t _ { T } ^ { \\prime } } ]$ with the similarity score $z$ , computed from Step 1, and concatenate it with the graph encoding results (i.e., the GNN encoder outputs) to obtain the input, namely, [GNNoutput; $z h _ { t _ { 1 } ^ { \\prime } } ; . . . ; z h _ { t _ { T } ^ { \\prime } } ]$ , to the decoder. ", + "bbox": [ + 173, + 214, + 826, + 275 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2.3 ATTENTION-BASED DYNAMIC GRAPH ", + "text_level": 1, + "bbox": [ + 176, + 289, + 478, + 304 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Due to that GNN-based encoders usually consider the $k$ -hop neighborhood, the global relation among nodes in the static graph (see Section 2.2.1) may be ignored. In order to better capture the global semantics of source code, based on the static graph, we propose to dynamically construct a graph via structure-aware global attention mechanism, which allows message passing among any pair of nodes. The attention-based dynamic graph can better capture the global dependency among nodes, and thus supplement the static graph. ", + "bbox": [ + 173, + 314, + 826, + 400 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Structure-aware Global Attention. The construction of the dynamic graph is motivated by the structure-aware self-attention mechanism proposed in Zhu et al. (2019). Given the static graph, we compute a corresponding dense adjacency matrix $A ^ { d y n }$ based on a structure-aware global attention mechanism, and obtain the constructed graph, namely, attention-based dynamic graph. ", + "bbox": [ + 174, + 406, + 825, + 462 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/5816b72db4cdeeba98934ad1ab87cbd948cc84e8241898dc8fea61025afbf64d.jpg", + "text": "$$\nA _ { v , u } ^ { d y n } = \\frac { \\mathrm { R e L U } ( h _ { v } ^ { T } W ^ { Q } ) ( \\mathrm { R e L U } ( h _ { u } ^ { T } W ^ { K } ) + \\mathrm { R e L U } ( e _ { v , u } ^ { T } W ^ { R } ) ) ^ { T } } { \\sqrt { d } }\n$$", + "text_format": "latex", + "bbox": [ + 279, + 465, + 718, + 502 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $h _ { v } , h _ { u } \\in c o m p$ are the augmented node embedding for any node pair $( v , u )$ in the CPG. Note that the global attention considers each pair of nodes of the CPG, regardless of whether there is an edge between them. $e _ { v , u } \\in \\mathbb { R } ^ { d _ { e } }$ is the edge embedding and $W ^ { Q }$ , $W ^ { \\breve { K } } \\in \\mathbb { R } ^ { d \\times d }$ , $W ^ { R } \\in \\mathbb { R } ^ { d _ { e } \\times d }$ are parameter matrices, $d _ { e }$ and $d$ are the dimensions of edge embedding and node embedding, respectively. The adjacency matrix $A ^ { d y n }$ will be further row normalized to obtain $\\tilde { A } ^ { d y n }$ , which will be used to compute dynamic message passing (see Section 2.4). ", + "bbox": [ + 173, + 506, + 826, + 592 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/ed5845fc3f25285edd69d31381307015fcc2d7b5afa9959acaf7acfb8cfe42d1.jpg", + "text": "$$\n\\tilde { A } ^ { d y n } = \\mathrm { s o f t m a x } ( A ^ { d y n } )\n$$", + "text_format": "latex", + "bbox": [ + 415, + 593, + 583, + 613 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2.4 HYBRID GNN ", + "text_level": 1, + "bbox": [ + 174, + 626, + 313, + 642 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To better incorporate the information of the static graph and the dynamic graph, we propose the Hybrid Message Passing (HMP), which are performed on both retrieval-augmented static graph and attention-based dynamic graph. ", + "bbox": [ + 176, + 652, + 823, + 695 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Static Message Passing. For every node $v$ at each computation hop $k$ in the static graph, we apply an aggregation function to calculate the aggregated vector $\\boldsymbol { h } _ { v } ^ { k }$ by considering a set of neighboring node embeddings computed from the previous hop. ", + "bbox": [ + 174, + 702, + 821, + 744 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/1ab2fbfabbae2e1c8912ac4bcc6e5a3ea0d5bd175a9a8c894714e1e76c450ce6.jpg", + "text": "$$\n\\pmb { h } _ { v } ^ { k } = \\mathrm { S U M } ( \\{ \\pmb { h } _ { u } ^ { k - 1 } | \\forall u \\in \\mathcal { N } _ { ( v ) } \\} )\n$$", + "text_format": "latex", + "bbox": [ + 388, + 747, + 607, + 767 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\mathcal { N } _ { ( v ) }$ is a set of the neighboring nodes which are directly connected with $v$ . For each node $v$ $h _ { v } ^ { 0 }$ is the initial augmented node embedding of $v$ , i.e., $\\mathbf { \\boldsymbol { h } } _ { v } \\in c o m p$ . ", + "bbox": [ + 173, + 768, + 825, + 800 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Dynamic Message Passing. The node information and edge information are propagated on the attention-based dynamic graph with the adjacency matrices $\\check { \\tilde { A } } ^ { d y n }$ , defined as ", + "bbox": [ + 173, + 806, + 821, + 837 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d6a9f4fa6344f6a8cfb513f05d33caa70da208aeb68d90aae7918a779ccf103d.jpg", + "text": "$$\n\\pmb { h } _ { v } ^ { ' k } = \\sum _ { u } \\tilde { \\pmb { A } } _ { v , u } ^ { d y n } ( \\pmb { W } ^ { V } \\pmb { h } _ { u } ^ { ' k - 1 } + \\pmb { W } ^ { F } \\pmb { e } _ { v , u } )\n$$", + "text_format": "latex", + "bbox": [ + 361, + 840, + 637, + 873 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $v$ and $u$ are any pair of nodes, $W ^ { V } \\in \\mathbb { R } ^ { d \\times d }$ , $W ^ { F } \\in \\mathbb { R } ^ { d \\times d _ { e } }$ are learned matrices, and $e _ { v , u }$ is the embedding of the edge connecting $v$ and $u$ . Similarly, $h _ { v } ^ { ' 0 }$ is the initial augmented node embedding of $v$ in comp. ", + "bbox": [ + 173, + 876, + 825, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Hybrid Message Passing. Given the static/dynamic aggregated vectors $h _ { v } ^ { k } / h _ { v } ^ { ' k }$ for static and dynamic graphs, we fuse both vectors and feed the resulting vector to a Gated Recurrent Unit (GRU) to update node representations. ", + "bbox": [ + 173, + 102, + 825, + 146 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/1175d5bb2dc2da160f9c976ea6d4d15f5ec7c1e150182c46a057ca5e7d1d2f7a.jpg", + "text": "$$\n\\pmb { f } _ { v } ^ { k } = \\mathrm { G R U } ( \\pmb { f } _ { v } ^ { k - 1 } , \\mathrm { F u s e } ( \\pmb { h } _ { v } ^ { k } , \\pmb { h } _ { v } ^ { ' k } ) )\n$$", + "text_format": "latex", + "bbox": [ + 392, + 150, + 606, + 170 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\pmb { f } _ { v } ^ { 0 }$ is the augmented node initialization in comp. The fusion function Fuse is designed as a gated sum of two inputs. ", + "bbox": [ + 171, + 175, + 823, + 205 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/87c80b676013ebd7e3a4e59786fbc23506db6d5a0fec68361736f09aa421f724.jpg", + "text": "$$\n\\begin{array} { r l } { \\operatorname { F u s e } ( \\pmb { a } , \\pmb { b } ) = z \\odot \\pmb { a } + ( 1 - z ) \\odot \\pmb { b } } & { { } z = \\sigma ( W _ { z } [ \\pmb { a } ; \\pmb { b } ; \\pmb { a } \\odot \\pmb { b } ; \\pmb { a } - \\pmb { b } ] + b _ { z } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 251, + 210, + 745, + 228 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $W _ { z }$ and $b _ { z }$ are learnable weight matrix and vector, $\\odot$ is the component-wise multiplication, $\\sigma$ is a sigmoid function and $_ { z }$ is a gating vector. After $n$ hops of GNN computation, we obtain the final node representation $f _ { v } ^ { n }$ and then apply max-pooling over all nodes $\\{ f _ { v } ^ { n } | \\forall v \\in \\mathcal { V } \\}$ to get the graph representation. ", + "bbox": [ + 174, + 233, + 825, + 289 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "2.5 DECODER ", + "text_level": 1, + "bbox": [ + 174, + 305, + 284, + 320 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The decoder is similar with other state-of-the-art Seq2seq models (Bahdanau et al., 2014; Luong et al., 2015) where an attention-based LSTM decoder is used. The decoder takes the input of the concatenation of the node representation and the representation of the retrieved summary $s ^ { \\prime }$ , namely, $[ f _ { v _ { 1 } } ^ { n } ; . . . ; f _ { v _ { m } } ^ { n } ; z h _ { t _ { 1 } ^ { \\prime } } ; . . . ; z h _ { t _ { T } ^ { \\prime } } ] ,$ , where $m$ is the number of nodes in the input CPG graph. The initial hidden state of the decoder is the fusion (Eq. 11) of the graph representation and the weighted (i.e., multiply similarity score $z$ ) final state of the retrieved summary BiLSTM encoder. ", + "bbox": [ + 174, + 332, + 825, + 415 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We train the model with the cross-entropy loss, defined as $\\begin{array} { r } { \\mathcal { L } = \\sum _ { t } - \\log P ( s _ { t } ^ { * } | c , s _ { < t } ^ { * } ) } \\end{array}$ , where $s _ { t } ^ { * }$ is the word at the $t$ -th position of the ground-truth output and $c$ is the source code of the function. To alleviate the exposure bias, we utilize schedule teacher forcing (Bengio et al., 2015). During the inference, we use beam search to generate final results. ", + "bbox": [ + 174, + 421, + 825, + 478 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 498, + 326, + 515 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.1 SETUP ", + "text_level": 1, + "bbox": [ + 174, + 530, + 261, + 544 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We evaluate our proposed framework against a number of state-of-the-art methods. Specifically, we classify the selected baseline methods into three groups: 1) Retrieval-based approaches: TFIDF (Haiduc et al., 2010) and NNGen (Liu et al., 2018), 2) Sequence-based approaches: CODENN (Iyer et al., 2016; Barone & Sennrich, 2017), Transformer (Ahmad et al., 2020), HybridDRL (Wan et al., 2018), Rencos (Zhang et al., 2020) and Dual model (Wei et al., 2019), 3) Graphbased approaches: SeqGNN (Fernandes et al., 2018). In addition, we implemented two another graph-based baselines: GCN2Seq and GAT2Seq, which respectively adopt the Graph Convolution (Kipf & Welling, 2016) and Graph Attention (Velickovic et al., 2018) as the encoder and a LSTM as the decoder for generating summaries. Note that Rencos (Zhang et al., 2020) combines the retrieval information into Seq2Seq model, we classify it into Sequence-based approaches. More detailed description about baselines and the configuration of HGNN can be found in the Appendix B and C. ", + "bbox": [ + 174, + 556, + 825, + 708 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Existing benchmarks (Barone & Sennrich, 2017; Hu et al., 2018b) are all based on high-level programming language i.e., Java, Python. Furthermore, they have been confirmed to have extensive duplication, making the model overfit to the training data that overlapped with the testset (Fernandes et al., 2018; Allamanis, 2019). We are the first to explore neural summarization on $C$ programming language, and make our $C$ Code Summarization Dataset (CCSD) public to benefit academia and industry. We crawled from popular $C$ repositories on GitHub and extracted function-summary pairs based on the documents of functions. After a deduplication process, we kept $\\mathbf { 9 5 k + }$ unique functionsummary pairs. To further test the model generalization ability, we construct in-domain functions and out-of-domain functions by dividing the projects into two sets, denoted as $a$ and $b$ . For each project in $a$ , we randomly select some of the functions in this project as the training data and the unselected functions are the in-domain validation/test data. All functions in projects $b$ are regarded as out-of-domain test data. Finally, we obtain 84,316 training functions, 4,432 in-domain validation functions, 4,203 in-domain test functions and 2,330 out-of-domain test functions. For the retrieval augmentation, we use the training set as the retrieval database, i.e., $D ^ { \\prime } = D$ (see Step 1 in Section 2.2.2). For more details about data processing, please refer to Appendix D. ", + "bbox": [ + 174, + 715, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/3b8cadb21beed25f543830d108a1abff6b34ee7aac2cb15845f79d07baaa6f19.jpg", + "table_caption": [ + "Table 1: Automatic evaluation results (in $\\%$ ) on the CCSD test set. " + ], + "table_footnote": [], + "table_body": "
MethodsIn-domainOut-of-domainOverall
BLEU-4ROUGE-L METEORBLEU-4 ROUGE-L METEORBLEU-4ROUGE-L METEOR
TF-IDF15.2027.9813.745.5015.376.8412.1923.4911.43
NNGen15.9728.1413.825.7416.337.1812.7623.9311.58
CODE-NN10.0826.1711.333.8615.256.198.2422.289.61
Hybrid-DRL9.2930.0012.476.3024.1910.308.4228.6411.73
Transformer12.9128.0413.835.7518.629.8910.6924.6512.02
Dual Model11.4929.2013.245.2521.319.149.6126.4011.87
Rencos14.8031.4114.647.5423.1210.3512.5928.4513.21
GCN2Seq9.7926.5911.654.0618.967.767.9123.6710.23
GAT2Seq10.5226.1711.883.8016.946.738.2922.6310.00
SeqGNN10.5129.8413.144.9420.809.508.8726.3411.93
HGNN w/oaugment& static11.7529.5913.865.5722.149.419.9826.9412.05
HGNN w/o augment & dynamic11.8529.5113.545.4521.899.599.9326.8012.21
HGNN w/o augment12.3329.9913.785.4522.079.4610.2627.1712.32
HGNN w/o static15.9333.6715.677.7224.6910.6313.4430.4713.98
HGNN w/o dynamic15.7733.8415.677.6424.7210.7313.3130.5914.01
HGNN16.7234.2916.257.8524.7411.0514.0130.8914.50
", + "bbox": [ + 173, + 126, + 795, + 313 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Similar to previous works (Zhang et al., 2020; Wan et al., 2018; Fernandes et al., 2018; Iyer et al., 2016), BLEU (Papineni et al., 2002), METEOR (Banerjee & Lavie, 2005) and ROUGE-L (Lin, 2004) are used as our automatic evaluation metrics. These metrics are popular for evaluating machine translation and text summarization tasks. Except for these automatic metrics, we also conduct a human evaluation study. We invite $5 \\mathrm { P h D }$ students and 10 master students as volunteers, who have rich C programming experiences. The volunteers are asked to rank summaries generated from the anonymized approaches from 1 to 5 (i.e., 1: Poor, 2: Marginal, 3: Acceptable, 4: Good, 5: Excellent) based on the relevance of the generated summary to the source code and the degree of similarity between the generated summary and the actual summary. Specifically, we randomly choose 50 functions for each model with the corresponding generated summaries and ground-truths. We calculate the average score and the higher the score, the better the quality. ", + "bbox": [ + 173, + 337, + 825, + 491 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "3.2 COMPARISON WITH THE BASELINES", + "text_level": 1, + "bbox": [ + 178, + 508, + 462, + 522 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 1 shows the evaluation results including two parts: the comparison with baselines and the ablation study. Consider the comparison with state-of-the-art baselines, in general, we find that our proposed model outperforms existing methods by a significant margin on both in-domain and out-of-domain datasets, and shows good generalization performance. Compared with others, on in-domain dataset, the retrieval-based approaches could achieve competitive performance on BLEU-4, however ROUGE-L and METEOR are fare less than ours. Moreover, they do not perform well on the out-of-domain dataset. Compared with the graph-based approaches (i.e., GCN2Seq, GAT2Seq and SeqGNN), even without augmentation (HGNN w/o augment), our approach still outperforms them, which further demonstrates the effectiveness of Hybrid GNN for additionally capturing global graph information. Compared with Rencos that also considers the retrieved information in the Seq2Seq model, its performance is still lower than HGNN. On the overall dataset including both of in-domain and out-of-domain data, our model achieves 14.01, 30.89 and 14.50, outperforming current state-of-the-art method Rencos by 1.42, 2.44 and 1.29 in terms of BLEU-4, ROUGE-L and METEOR metrics. ", + "bbox": [ + 173, + 534, + 825, + 727 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "3.3 ABLATION STUDY ", + "text_level": 1, + "bbox": [ + 176, + 744, + 339, + 758 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We also conduct an ablation study to evaluate the impact of different components of our framework, e.g., retrieval-based augmentation, static graph and dynamic graph in the last row of Table 1. Overall, we found that 1) retrieval-augmented mechanism could contribute to the overall model performance (HGNN vs. HGNN w/o augment). Compared with HGNN, we see that the performance of HGNN w/o static and HGNN w/o dynamic decreases, which demonstrates the effectiveness of the Hybrid GNN and 2) the performance without static graph is worse than the performance without dynamic graph in ROUGE-L and METEOR, however, BLEU-4 is higher than the performance without dynamic graph. To further understand the impact of the static graph and dynamic graph, we evaluate the performance without augmentation and static graph/dynamic graph (see HGNN w/o augment& static and HGNN w/o augment& dynamic). Compared with HGNN w/o augment, the results further confirm the effectiveness of the Hybrid GNN (i.e., static graph and dynamic graph). ", + "bbox": [ + 173, + 770, + 826, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/df0895efac3c1a8b13f3bcf5a3d9c0b9144e258759a327d069cbff16d6c66e5b.jpg", + "table_caption": [ + "Table 2: Human evaluation results on the CCSD test set. " + ], + "table_footnote": [], + "table_body": "
MetricsNNGenTransformerRencosSeqGNNHGNN
Relevance3.233.173.483.093.69
Similarity3.183.023.323.063.51
", + "bbox": [ + 318, + 125, + 679, + 157 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/52166fa3f53cf5c87047215531426cc6f297caba67b2631997541dd9b1d27e4d.jpg", + "table_caption": [ + "Table 3: Examples of generated summaries on the CCSD test set. " + ], + "table_footnote": [], + "table_body": "
ExampleExample 1Example 2
Source Codestatic void strInit(Str *p){p->z = 0;p->nAlloc = 0;p->nUsed = 0;}void ReleaseCedar(CEDAR *c){if (c == NULL)return;if((Release(c->ref) == 0)CleanupCedar(c);1
Ground-Truthinitializeastr objectrelease reference of the cedar
NNGenfree the stringrelease the virtual host
Transformerreset a stringrelease of the cancel object
Rencosappend araw string to the jsonstringrelease of the cancel object
SeqGNNinitialize the stringrelease cedarcommunication mode
HGNNinitializeastringobjectreleasereferenceofcedar
", + "bbox": [ + 266, + 196, + 732, + 329 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We also conduct experiments to investigate the impact of code-based augmentation and summarybased augmentation. Overall, we found that the summary-based augmentation could contribute more than the code-based augmentation. For example, after adding the code-based augmentation, the performance can be 10.22, 27.54 and 12.49 in terms of BLUE-4, ROUGE-L and METEOR on the overall dataset. With the summary-based augmentation, the results can reach to 13.76, 30.59 and 14.11. Compared with the results without augmentation (i.e., 10.26. 27.17, 12.32 with $H G N N w / o$ augment), we can see that code-based augmentation could have some improvement, but the effect is not significant compared with summary-based augmentation. We conjecture that, due to that the code and summary are heterogeneous, the summary-based augmentation has a more direct impact on the code summarization task. When combining both code-based augmentation and summary-based augmentation, we can achieve the best results (i.e., 14.01, 30.89, 14.50). We plan to explore more code-based augmentation (e.g., semantic-equivalent code transformation) in our future work. ", + "bbox": [ + 173, + 356, + 825, + 523 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "3.4 HUMAN EVALUATION ", + "text_level": 1, + "bbox": [ + 176, + 541, + 364, + 556 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "As shown in Table 2, we perform a human evaluation on the overall dataset to assess the quality of the generated summaries by our approach, NNGen, Transformer, Rencos and SeqGNN in terms of relevance and similarity. As depicted in Table 1, NNGen, Rencos and SeqGNN are the best retrieval-based, sequence-based, and graph-based approaches, respectively. We also compare with Transformer as it has been widely used in natural language processing. The results show that our method can generate better summaries which are more relevant with the source code and more similar with the ground-truth summaries. ", + "bbox": [ + 174, + 569, + 825, + 666 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "3.5 CASE STUDY ", + "text_level": 1, + "bbox": [ + 176, + 684, + 305, + 699 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "To perform qualitative analysis, we present two examples with generated summaries by different methods from the overall data set, shown in Table 3. We can see that, in the first example, our approach can learn more code semantics, i.e., $p$ is a self-defined struct variable. Thus, we could generate a token object for the variable $p$ . However, other models can only produce string. Example 2 is a more difficult function with the functionality to “release reference of cedar”, as compared to other baselines, our approach effectively captures the functionality and generates a more precise summary. ", + "bbox": [ + 174, + 712, + 825, + 795 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "3.6 EXTENSION ON THE PYTHON DATASET ", + "text_level": 1, + "bbox": [ + 176, + 813, + 482, + 828 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We conducted additional experiments on a public dataset, i.e., the Python Code Summarization Dataset (PCSD), which was also used in Rencos (the most competitive baseline in our paper). We follow the setting of Rencos and split PCSD into the training set, validation set and testing set with fractions of $60 \\%$ , $20 \\%$ and $20 \\%$ . We construct the static graph based on AST. The decoding step is set to 50, followed by Rencos, and the other settings are the same with CCSD. We compare our methods on PCSD against various competitive baselines, i.e., NNGen, CODE-NN, Rencos and ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/4c5656cd1c2e9cede07a87883ce2762f8d6f9a8854e8d356eb6494800e2fde7d.jpg", + "table_caption": [ + "Table 4: Automatic evaluation results (in $\\%$ ) on the PCSD test set. " + ], + "table_footnote": [], + "table_body": "
MethodsBLEU-4ROUGE-LMETEOR
NNGen21.6031.6115.96
CODE-NN16.3928.9913.68
Transformer17.0631.1614.37
Rencos24.0236.2118.07
HGNN w/ostatic24.0638.2818.66
HGNN w/o dynamic24.1338.6418.93
HGNN24.4239.9119.48
", + "bbox": [ + 348, + 126, + 643, + 210 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Transformer, which are either retrieval-based, generation-based or hybrid methods. The results are shown in Table 4. The results indicate that, compared with the best results from NNGen, CODE-NN, Rencos and Transformer, our method can improve the performance by 0.40, 3.70 and 1.41 in terms of BLEU-4, ROUGE-L and METEOR. We also conduct the ablation study on PCSD to demonstrate the usefulness of the static graph (i.e., HGNN w/o dynamic) and dynamic graph (i.e., HGNN w/o static). The results also demonstrate that both static graph and dynamic graph can contribute to our framework. In summary, the results on both our released benchmark (CCSD) and existing benchmark (PCSD) demonstrate the effectiveness and the scalability of our method. ", + "bbox": [ + 174, + 219, + 825, + 330 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 347, + 344, + 362 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Source Code Summarization Early works (Eddy et al., 2013; Haiduc et al., 2010; Wong et al., 2015; 2013) for code summarization focused on using information retrieval to retrieve summaries. Later works attempted to employ attentional Seq2Seq model on the source code (Iyer et al., 2016; Siow et al., 2020) or some variants, i.e., AST (Hu et al., 2018a; Alon et al., 2018; Liu et al., 2020) for generation. However, these works are based on sequential models, ignoring rich code semantics. Some latest attempts (LeClair et al., 2020; Fernandes et al., 2018) embedded program semantics into GNNs. but they mainly rely on simple representations, which are limited to learn full semantics. ", + "bbox": [ + 173, + 377, + 825, + 474 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Graph Neural Networks Over the past few years, GNNs (Li et al., 2015; Hamilton et al., 2017; Kipf & Welling, 2016; Chen et al., 2020b) have attracted increasing attention with many successful applications in computer vision (Norcliffe-Brown et al., 2018), natural language processing (Xu et al., 2018a; Chen et al., 2020d;c;e). Because by design GNNs can model graph-structured data, recently, some works have extended the widely used Seq2Seq architectures to Graph2Seq architectures for various tasks including machine translation (Beck et al., 2018), and graph (e.g., AMR, SQL)-to-text generation (Zhu et al., 2019; Xu et al., 2018b). Some works have also attempted to encode programs with graphs for diverse tasks e.g., VARNAMING/VARMISUSE (Allamanis et al., 2017), Source Code Vulnerability Detection (Zhou et al., 2019). As compared to these works, we innovate a hybrid message passing GNN performed on both static graph and dynamic graph for message fusion. ", + "bbox": [ + 174, + 482, + 825, + 621 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 CONCLUSION AND FUTURE WORK ", + "text_level": 1, + "bbox": [ + 174, + 637, + 493, + 652 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this paper, we proposed a general-purpose framework for automatic code summarization. A novel retrieval-augmented mechanism is proposed for combining the benefits of both retrieval-based and generation-based approaches. Moreover, to capture global semantics among nodes, we develop a hybrid message passing GNN based on both static and dynamic graphs. The evaluation shows that our approach improves state-of-the-art techniques substantially. Our future work includes: 1) we plan to introduce more information such as API knowledge to learn the better semantics of programs, 2) we explore more code-based augmentation techniques to improve the performance and 3) we plan to adopt the existing techniques such as (Du et al., 2019; Xie et al., 2019a;b; Ma et al., 2018) to evaluate the robustness of the trained model. ", + "bbox": [ + 173, + 667, + 825, + 792 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 809, + 387, + 825 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This research is partially supported by the National Research Foundation, Singapore under its the AI Singapore Programme (AISG2-RP-2020-019), the National Research Foundation, Prime Ministers Office, Singapore under its National Cybersecurity R&D Program (Award No. NRF2018NCRNCR005-0001), NRF Investigatorship NRF-NRFI06-2020-0001, the National Research Foundation through its National Satellite of Excellence in Trustworthy Software Systems (NSOE-TSS) project under the National Cybersecurity R&D (NCR) Grant award no. NRF2018NCR-NSOE003-0001. 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We describe each representation combining with Figure 2 as follows: ", + "bbox": [ + 174, + 183, + 825, + 224 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "• Abstract Syntax Tree (AST). AST contains syntactic information for a program and omits irrelevant details that have no effect on the semantics. Figure 2 shows the completed AST nodes on the left simple program and each node has a code sequence in the first line and type attribute in the second line. The black arrows represent the child-parent relations among ASTs. ", + "bbox": [ + 174, + 241, + 825, + 296 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "• Control Flow Graph (CFG). Compared with AST highlighting the syntactic structure, CFG displays statement execution order, i.e., the possible order in which statements may be executed and the conditions that must be met for this to happen. Each statement in the program is treated as an independent node as well as a designated entry and exit node. Based on the keywords $i f , f o r$ , goto, break and continue, control flow graphs can be easily built and “Flow to” with green dashed arrows in Figure 2 represents this flow order. ", + "bbox": [ + 174, + 303, + 826, + 387 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "• Program Dependency Graph (PDG). PDG includes data dependencies and control dependencies: 1) data dependencies are described as the definition of a variable in a statement reaches the usage of the same variable at another statement. In Figure 2, the variable $\\mathbf { \\nabla } ^ { 6 }$ is defined in the statement “int $b = a { + } { + } ^ { \\prime \\prime }$ and used in “call $( b ) ^ { \\dagger }$ . Hence, there is a “Reach” edge with blue arrows point from “int $b = a { + } { + } ^ { , , , }$ to “call $( b ) ^ { \\dagger }$ . Furthermore, Define/Use edge with orange double arrows denotes the definition and usage of the variable. 2) different from CFG displaying the execution process of the complete program, control dependencies define the execution of a statement may be dependent on the value of a predicate, which more focus on the statement itself. For instance, the statements “int $b = a { + } { + } ^ { \\prime \\prime }$ and “call(b)” are only performed “if a is even”. Therefore, a red double arrow “Control” points from $\\begin{array} { r } { \\cdot \\bullet _ { i f } ( a \\ \\mathcal { I } _ { o } \\ : 2 ) = = O ^ { \\ast } } \\end{array}$ to “int $b = a { + } { + } ^ { , , , }$ and “call(b)”. ", + "bbox": [ + 174, + 393, + 825, + 532 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B DETAILS ON BASELINE METHODS", + "text_level": 1, + "bbox": [ + 174, + 556, + 493, + 573 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We compare our approach with existing baselines. They can be divided into three groups: Retrievalbased approaches, Sequence-based approaches and Graph-based approaches. For papers that provide the source code, we directly reproduce their methods on CCSD dataset. Otherwise, we reimplement their approaches with reference to the papers. ", + "bbox": [ + 174, + 590, + 825, + 646 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B.1 RETRIEVAL-BASED APPROACHES", + "text_level": 1, + "bbox": [ + 176, + 667, + 444, + 680 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "TF-IDF (Haiduc et al., 2010) is the abbreviation of Term Frequency-Inverse Document Frequency, which is adopted in the early code summarization (Haiduc et al., 2010). It transforms programs into weight vectors by calculating term frequency and inverse document frequency. We retrieve the summary of the most similar programs by calculating the cosine similarity on the weighted vectors. ", + "bbox": [ + 174, + 694, + 825, + 750 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "NNGen (Liu et al., 2018) is a retrieved-based approach to produce commit messages for code changes. We reproduce such an algorithm on code summarization. Specifically, we retrieve the most similar top- $\\mathbf { \\nabla } \\cdot \\mathbf { k }$ code snippets on a bag-of-words model and prioritizes the summary in terms of BLEU-4 scores in top-k code snippets. ", + "bbox": [ + 174, + 757, + 825, + 813 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B.2 SEQUENCE-BASED APPROACHES", + "text_level": 1, + "bbox": [ + 176, + 833, + 441, + 847 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "CODE-NN (Iyer et al., 2016; Barone & Sennrich, 2017) adopts an attention-based Seq2Seq model to generate summaries on the source code. ", + "bbox": [ + 176, + 859, + 821, + 888 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Transformer (Ahmad et al., 2020) adopts the transformer architecture (Vaswani et al., 2017) with self-attention to capture long dependency in the code for source code summrization. ", + "bbox": [ + 173, + 895, + 820, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Hybrid-DRL (Wan et al., 2018) is a reinforcement learning-based approach, which incorporates AST and sequential code snippets into a deep reinforcement learning framework and employ evaluation metrics e.g., BLEU as the reward. ", + "bbox": [ + 174, + 103, + 823, + 145 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Dual Model (Wei et al., 2019) propose a dual training framework by training code summarization and code generation tasks simultaneously to boost each task performance. ", + "bbox": [ + 171, + 152, + 821, + 180 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Rencos (Zhang et al., 2020) is the retrieval-based Seq2Seq model for code summarization. it utilized a pretrained Seq2Seq model during the testing phase by computing a joint probability conditioned on both the original source code and retrieved the most similar source code for the summary generation. Compared with Rencos, we propose a novel retrieval-augmented mechanism for the similar source code and use it at the model training phase. ", + "bbox": [ + 174, + 188, + 825, + 257 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "B.3 GRAPH-BASED APPROACHES", + "text_level": 1, + "bbox": [ + 176, + 276, + 415, + 290 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We also compared with some latest GNN-based works, employing graph neural network for source code summarization. ", + "bbox": [ + 174, + 301, + 823, + 330 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "GCN2Seq, GAT2Seq modify Graph Convolution Network (Kipf & Welling, 2016) and Graph Attention Network (Velickovic et al., 2018) to perform convolution operation and attention operation on the code property graph for learning and followed by a LSTM to generate summaries. We implement the related code from scratch. ", + "bbox": [ + 174, + 337, + 825, + 392 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "SeqGNN (Fernandes et al., 2018) combines GGNNs and standard sequence encoders for summarization. They take the code and relationships between elements of the code as input. Specially, a BiLSTM is employed on the code sequence to learn representations and each source code token is modelled as a node in the graph, and employed GGNN for graph-level learning. Since our node sequences are sub-sequence of source code rather than individual token, we adjust to slice the output of BiLSTM and sum each token representation in node sequences as node initial representation for summarization. Furthermore, we implement the related code from scratch. ", + "bbox": [ + 174, + 400, + 825, + 497 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C MODEL SETTINGS ", + "text_level": 1, + "bbox": [ + 174, + 518, + 361, + 535 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We embed the most frequent 40,000 words in the training set with 512-dims and set the hidden size of BiLSTM to 256 and the concatenated state size for both directions is 512. The dropout is set to 0.3 after the word embedding layer and BiLSTM. We set GNN hops to 1 for the best performance. The optimizer is selected with Adam with an initial learning rate of 0.001. The batch size is set to 64 and early stop for 10. The beam search width is set to 5 as usual. All experiments are conducted on the DGX server with four Nvidia Graphics Tesla V100 and each epoch takes 6 minutes averagely. All hyperparameters are tuned with grid search on the validation set. ", + "bbox": [ + 174, + 550, + 825, + 648 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "D DETAILS ON DATA PREPARATION ", + "text_level": 1, + "bbox": [ + 174, + 670, + 485, + 685 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "It is non-trivial to obtain high-quality datasets for code summarization. We noticed that despite some previous works (Barone & Sennrich, 2017; Hu et al., 2018b) released their datasets, however, they are all based on high-level programming languages i.e. Java, Python. We are the first to explore summarization on $C$ programming language. Specifically, we crawled from popular $C$ repositories (e.g., Linux and QEMU) on GitHub, and then extracted separate function-summary pairs from these projects. Specifically, we extracted functions and associated comments marked by special characters $\" / \\ast * \\ast \"$ and $\" * / \"$ over the function declaration. These comments can be considered as explanations of the functions. We filtered out functions with line exceeding 1000 and any other comments inside the function, and the first sentence was selected as the summary. A similar practice can be found in (Jiang et al., 2017). Totally, we collected $\\mathbf { 5 0 0 k + }$ raw function-summary pairs. Furthermore, functions with token size greater than 150 were removed for computational efficiency and there were $\\mathbf { 1 3 0 k + }$ functions left. Since duplication is very common in existing datasets (Fernandes et al., 2018), followed by Allamanis (2019), we performed a de-duplication process and removed functions with similarity over $80 \\%$ . Specifically, we calculated the cosine similarity by encoding the raw functions into vectors with sklearn. Finally, we kept $\\mathbf { 9 5 k + }$ unique functions. We name this dataset $C$ Code Summarization Dataset (CCSD). To testify model generalization ability, we randomly selected some projects as the out-of-domain test set with 2,330 examples and the remaining were randomly split into train/validation/test with 84,316/4,432/4,203 examples. The open-source code analysis platform Joern (Yamaguchi et al., 2014) was applied to construct the code property graph. ", + "bbox": [ + 174, + 702, + 825, + 924 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/97e58534055752520bafa03f12a4aa2144ab42cc670a3266d2218ff9ea4ace80.jpg", + "table_caption": [ + "Table 5: More Examples of generated summaries on the CCSD test set. " + ], + "table_footnote": [], + "table_body": "
ExampleExample 1Example 2
Source Codestatic void counterMutexFree(sqlite3_mutex *p){assert(g.isInit);g.m.xMutexFree (p->pReal);if(p->eType==SQLITE_MUTEX_FASTI1 p->eType==s QLITE_MUTEX_RECURSIVE){free(p);1}static void _exit wimax_subsys_exit (void){wimax_id_table_release();genl_unregister_family(&wimax_gnl_family);}
Ground-Truthfree a countable mutexshutdown the wimax stack
NNGenenter a countable mutexunregisters pmcraid event family return value none
Transformerleaveamutexde initialize wimax driver
Rencostry to enter a mutexunregister the wimax device subsystem
SeqGNNfree a mutex allocated bysqlite3 mutexthis function is called when the driver is not held
HGNNreleasea mutexfree the wimax stack
Retrieved_code static int counterMutexTry(sqlite3_mutex *p){assert(g.isInit );assert(p->eType>=0 );assert(p->eType<MAX_MUTEXES);g.aCounter[p->eType]++;if(g.disableTry)return SQLITE_BUSY;return g.m.xMutexTry(p->pReal);}static int _init wimax_subsys_init(void){int result;d_fnstart(4,NULL,"()\\n");d_parse_params(D_LEVEL,D_LEVEL_SIZE,wimax_debug_params,"wimax.debug");result = genl_register_family(&wimax_gnl_family);if(unlikely(result<0)){pr_err("cannot register genericnetlink family: %d\\n", result);goto error_register_family;}d_fnend(4,NULL,"()= O\\n");return 0;error_register_family:d_fnend(4,NULL,"()= %d\\n",result);return result;1
Retrieved_summarytryto enter amutexshutdown the wimax stack
ExampleExample 3Example 4
Source Codestatic void udc_dd_free(struct lpc32xx_udc *udc,struct lpc32xx_usbd_dd_gad *dd){dma_pool_free(udc->dd_cache,dd,dd->this_dma);}void ReleaseSockEvent(SOCK_EVENT *event){if (event == NULL){return;1if(Release(event->ref) == 0){CleanupSockEvent (event);}1
Ground-Truthfree a dma descriptorrelease of the socket event
NNGenallocateadmadescriptorclean up of the socket event
Transformerfree the usb deviceset the event
Rencosallocatea dma descriptorset of the sock event
SeqGNNfree dma buffersrelease of the socket
HGNNfreeadma descriptorrelease the sock event
Retrieved_codestatic struct lpc32xx_usbd_dd_gad*udc_dd_alloc(structlpc32xx_udc *udc){dma_addr_t dma;struct lpc32xx_usbd_dd_gad *dd;dd =dma_pool_alloc(udc->dd_cache,GFP_ATOMIC|GFP_DMA,&dma);if (dd)dd->this_dma = dma;return dd;1void SetL2TPServerSockEvent(L2TP_SERVER *12tp,SOCK_EVENT *e){if (12tp == NULL){return;}if (e != NULL){AddRef(e->ref);}if(12tp->SockEvent != NULL){ReleaseSockEvent (12tp->SockEvent);12tp->SockEvent = NULL;}12tp->SockEvent = e;}
Retrieved_summaryallocatea dma descriptorset a sock event to the l2tp server
", + "bbox": [ + 173, + 123, + 821, + 776 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 794, + 825, + 837 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "E MORE EXAMPLES ", + "text_level": 1, + "bbox": [ + 176, + 856, + 354, + 872 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We show more examples along with the retrieved code and summary by dynamic programming in Table 5 and we can find that HGNN can generate more high-quality summries based on our approach. ", + "bbox": [ + 173, + 888, + 825, + 916 + ], + "page_idx": 15 + } +] \ No newline at end of file